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.
N••• L••••••• D•••••
- O•••• W•••••• I••• BD affiliated currentsince Aug 26, 2026 · New Berlin, Wi
- A•••• W••••• M••••••••• L•• independent RIAJan 16, 2014 to Aug 14, 2015 · Brookfield, Wi
- D••••••• S••••••• L•• formerDec 18, 2009 to Dec 1, 2010 · West Chester, Pa
- A•••• W••••• M••••••••• L•• to O•••• W•••••• I•••left Aug 14, 2015, registered Aug 26, 2026 (4030 days) · Other
- D••••••• S••••••• L•• to A•••• W••••• M••••••••• L••left Dec 1, 2010, registered Jan 16, 2014 (1142 days) · Other
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address