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.
R••••• B•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 14, 2023 · Plymouth, Mn
- P•••••• A•••• M••••••••• L•• formerSep 23, 2022 to May 8, 2023 · Chicago, Il
- 1••• I••••••••• A••••••• C•• mixed wealthJun 10, 2022 to May 8, 2023 · Milwaukee, Wi
- J•••••• W••••• I••• mixed wealthMay 16, 2016 to May 16, 2022 · Milwaukee, Wi
- C••••• G••• I••• formerOct 1, 2007 to Jun 2, 2016 · Milwaukee, Wi
- V••••• A•••• M••••••••• I•• unclassifiedApr 11, 2006 to Jun 8, 2007 · Rosemont, Il
- 1••• I••••••••• A••••••• C•• to P•••••• A•••• M••••••••• L••left May 8, 2023, registered Sep 23, 2022 (-227 days) · channel change inside one enterprise, not a move
- P•••••• A•••• M••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left May 8, 2023, registered Jun 14, 2023 (37 days) · Other
- J•••••• W••••• I••• to 1••• I••••••••• A••••••• C••left May 16, 2022, registered Jun 10, 2022 (25 days) · RIA to RIA
- C••••• G••• I••• to J•••••• W••••• I•••left Jun 2, 2016, registered May 16, 2016 (-17 days) · Other · moved with a team
- V••••• A•••• M••••••••• I•• to C••••• G••• I•••left Jun 8, 2007, registered Oct 1, 2007 (115 days) · Other
- R••••• B••••• left P•••••• A•••• M••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-06-14)May 8, 2023 · Advisor changed firm · fact
- R••••• B••••• left J•••••• W••••• I••• for 1••• I••••••••• A••••••• C•• (registered 2022-06-10)May 16, 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