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.
P•••••• T••••••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Mequon, Wi
- C••• B•••••••• S•••••••• I••• formerOct 11, 2017 to May 18, 2022 · Madison, Wi
- W•••• F•••• A••••••• wirehouseApr 1, 2011 to May 8, 2017 · Milwaukee, Wi
- M•• I••••••••• M••••••••• C•••• formerApr 28, 2010 to Apr 20, 2011 · Milwaukee, Wi
- M•• F•••••••• A•••••••• I••• formerAug 29, 2006 to Mar 31, 2010 · Madison, Wi
- R••••• W• B•••• • C•• I••••••••• mixed wealthJan 5, 2005 to Aug 31, 2006 · Madison, Wi
- S••••• C•••••• M••••••••• I•• unclassifiedJan 14, 2000 to Nov 1, 2004 · Madison, Wi
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C••• B•••••••• S•••••••• I•••left May 8, 2017, registered Oct 11, 2017 (156 days) · Other
- M•• I••••••••• M••••••••• C•••• to W•••• F•••• A•••••••left Apr 20, 2011, registered Apr 1, 2011 (-19 days) · Other
- M•• F•••••••• A•••••••• I••• to M•• I••••••••• M••••••••• C••••left Mar 31, 2010, registered Apr 28, 2010 (28 days) · Other
- R••••• W• B•••• • C•• I••••••••• to M•• F•••••••• A•••••••• I•••left Aug 31, 2006, registered Aug 29, 2006 (-2 days) · Other
- S••••• C•••••• M••••••••• I•• to R••••• W• B•••• • C•• I•••••••••left Nov 1, 2004, registered Jan 5, 2005 (65 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