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.
L•••••• L••••• L••••
- M••••• S•••••• wirehouse currentsince Nov 27, 2013 · Middleton, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Nov 26, 2013 · Madison, Wi
- M•• I••••••••• M••••••••• C•••• formerApr 29, 2010 to Apr 19, 2012 · Milwaukee, Wi
- M•• F•••••••• A•••••••• I••• formerNov 9, 2009 to Aug 1, 2012 · Madison, Wi
- U•• F•••••••• S••••••• I••• wirehouseJul 15, 1998 to Nov 18, 2009 · Madison, Wi
- B•• H••••• F•••••••• A•••••••• I•• to M••••• S••••••left Nov 26, 2013, registered Nov 27, 2013 (1 days) · Other
- M•• F•••••••• A•••••••• I••• to M•• I••••••••• M••••••••• C••••left Aug 1, 2012, registered Apr 29, 2010 (-825 days) · corporate re-registration, not a move
- M•• I••••••••• M••••••••• C•••• to B•• H••••• F•••••••• A•••••••• I••left Apr 19, 2012, registered Aug 1, 2012 (104 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M•• F•••••••• A•••••••• I•••left Nov 18, 2009, registered Nov 9, 2009 (-9 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address