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.
J•••• L• B•••••
- R•• C•••••• M••••••• L•• national BD currentsince Dec 7, 2022 · Seattle, Wa
- U••• B•••••• I••••••••• I••• formerMay 15, 2017 to Jun 25, 2021 · West Allis, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 30, 2013 to Sep 30, 2016 · Milwaukee, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 9, 2013 to Mar 19, 2013 · Milwaukee, Wi
- R•• G•••••• A••••••• L•• formerSep 26, 2006 to Nov 29, 2012 · Milwaukee, Wi
- U••• B•••••• I••••••••• I••• to R•• C•••••• M••••••• L••left Jun 25, 2021, registered Dec 7, 2022 (530 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to U••• B•••••• I••••••••• I•••left Sep 30, 2016, registered May 15, 2017 (227 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 19, 2013, registered Jul 30, 2013 (133 days) · Other
- R•• G•••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 29, 2012, registered Jan 9, 2013 (41 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address