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.
S••••• S•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 3, 2026 · Dixon, Il
- B•• P•••••••• I••• BD affiliatedNov 10, 2016 to Mar 4, 2026 · Monroe, Wi
- L•• F•••••••• L•• BD affiliatedMay 31, 2012 to Nov 30, 2016 · Southwayne, Wi
- E••••• J•••• national BDMar 21, 2007 to Jun 4, 2012 · Brodhead, Wi
- F•• A••••••• S••••••• I•• unclassifiedJan 17, 2006 to Jan 4, 2007 · Argyle, Wi
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJun 10, 2004 to Jan 23, 2006 · Warren, Il
- B•• P•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 4, 2026, registered Mar 3, 2026 (-1 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to B•• P•••••••• I•••left Nov 30, 2016, registered Nov 10, 2016 (-20 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Jun 4, 2012, registered May 31, 2012 (-4 days) · Other
- F•• A••••••• S••••••• I•• to E••••• J••••left Jan 4, 2007, registered Mar 21, 2007 (76 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to F•• A••••••• S••••••• I••left Jan 23, 2006, registered Jan 17, 2006 (-6 days) · Other
- S••••• S••••••• left B•• P•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-03-03)Mar 4, 2026 · Advisor changed firm · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address