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.
A•• J••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 6, 2019 · Chilton, Wi
- C••• F•••••••• S•••••••• L••• formerDec 10, 2014 to Mar 29, 2019 · Appleton, Wi
- C••• B•••••••• S•••••••• I••• formerMay 21, 2013 to Dec 15, 2014 · Appleton, Wi
- L•• F•••••••• L•• BD affiliatedJan 11, 2010 to Apr 30, 2013 · Tomahawk, Wi
- I••• S••••••••• I••• unclassifiedAug 9, 2006 to Aug 9, 2006 · Green Bay, Wi
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Mar 29, 2019, registered Jun 6, 2019 (69 days) · Affiliated broker-dealer or bank to independent RIA
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Dec 15, 2014, registered Dec 10, 2014 (-5 days) · Other
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left Apr 30, 2013, registered May 21, 2013 (21 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left Aug 9, 2006, registered Jan 11, 2010 (1251 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