RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D••••• C•••• H••••••
- M•••• F•••••••• A••••••• BD affiliated currentsince Aug 19, 2022 · Sheboygan Falls, Wi
- M••••••••• A••••••• G••••• L•• formerDec 9, 2019 to Nov 9, 2022 · Sheboygan Falls, Wi
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 13, 2014 to Aug 23, 2022 · Sheboygan, Wi
- F•••••••• T••••••• I••• formerJan 25, 2013 to Aug 14, 2014 · San Rafael, Ca
- P•••••••• S••••••••• I••• BD affiliatedOct 13, 2009 to Feb 21, 2013 · Sheboygan, Wi
- L•• F•••••••• L•• BD affiliatedOct 1, 2009 to Oct 27, 2009 · San Diego, Ca
- P•••••••• S••••••••• I••• BD affiliatedDec 27, 1999 to Oct 2, 2009 · Sheboygan, Wi
- M••••••••• A••••••• G••••• L•• to M•••• F•••••••• A•••••••left Nov 9, 2022, registered Aug 19, 2022 (-82 days) · Other · moved with a team
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M••••••••• A••••••• G••••• L••left Aug 23, 2022, registered Dec 9, 2019 (-988 days) · Other · moved with a team
- F•••••••• T••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 14, 2014, registered Aug 13, 2014 (-1 days) · Other
- P•••••••• S••••••••• I••• to F•••••••• T••••••• I•••left Feb 21, 2013, registered Jan 25, 2013 (-27 days) · Other
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Oct 27, 2009, registered Oct 13, 2009 (-14 days) · Other
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Oct 2, 2009, registered Oct 1, 2009 (-1 days) · Other
- D••••• C•••• H•••••• left M••••••••• A••••••• G••••• L•• for M•••• F•••••••• A••••••• (registered 2022-08-19)Nov 9, 2022 · Advisor changed firm · fact
- D••••• C•••• H•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for M••••••••• A••••••• G••••• L•• (registered 2019-12-09)Aug 23, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address