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••••• D•••• F•••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 17, 2015 · Appleton, Wi
- M••••• S•••••• wirehouseOct 27, 2011 to Dec 3, 2015 · Appleton, Wi
- B•• A•••• M••••••••• I••• unclassifiedOct 2, 2008 to Nov 30, 2011 · Two Rivers, Wi
- P•••••••• A•••• M••••••••• L•• unclassifiedFeb 8, 2008 to Mar 7, 2008 · Centerville, Oh
- M•• I••••••••• M••••••••• C•••• formerNov 2, 2006 to Jan 10, 2008 · Milwaukee, Wi
- C•••••• G•••••••• W••••• A••••••• formerFeb 7, 2006 to Sep 15, 2006 · Phoenix, Az
- W•••• F•••• A••••••• wirehouseJun 29, 2000 to Feb 1, 2006 · Appleton, Wi
- M••••• S•••••• to W•••• F•••• A•••••••left Dec 3, 2015, registered Nov 17, 2015 (-16 days) · Wirehouse to wirehouse
- B•• A•••• M••••••••• I••• to M••••• S••••••left Nov 30, 2011, registered Oct 27, 2011 (-34 days) · Other
- P•••••••• A•••• M••••••••• L•• to B•• A•••• M••••••••• I•••left Mar 7, 2008, registered Oct 2, 2008 (209 days) · Other
- M•• I••••••••• M••••••••• C•••• to P•••••••• A•••• M••••••••• L••left Jan 10, 2008, registered Feb 8, 2008 (29 days) · Other
- C•••••• G•••••••• W••••• A••••••• to M•• I••••••••• M••••••••• C••••left Sep 15, 2006, registered Nov 2, 2006 (48 days) · Other
- W•••• F•••• A••••••• to C•••••• G•••••••• W••••• A•••••••left Feb 1, 2006, registered Feb 7, 2006 (6 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address