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.
W•••••• M•••••• B•••••
- P•••••• P••••••• independent RIA currentsince May 26, 2020 · Hartland, Wi
- N••• F•••••••• G••••• I••• formerJun 26, 2009 to Sep 14, 2009 · Houston, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 21, 2006 to Jun 16, 2009 · Delafield, Wi
- P•••••• P••••••• independent RIAAug 30, 2004 to Mar 27, 2006 · Menomonee Falls, Wi
- W•••• F•••• A••••••• wirehouseJan 12, 2004 to Mar 17, 2005 · Delafield, Wi
- N••• F•••••••• G••••• I••• to P•••••• P•••••••left Sep 14, 2009, registered May 26, 2020 (3907 days) · Other
- M•• I•••••••• S•••••••• L•• to N••• F•••••••• G••••• I•••left Jun 16, 2009, registered Jun 26, 2009 (10 days) · Other
- P•••••• P••••••• to M•• I•••••••• S•••••••• L••left Mar 27, 2006, registered Apr 21, 2006 (25 days) · Other
- W•••• F•••• A••••••• to P•••••• P•••••••left Mar 17, 2005, registered Aug 30, 2004 (-199 days) · Wirehouse to independent RIA
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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address