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••• P•••••• C•••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 2, 2021 · Plymouth, Mn
- W•••••••• C•••••• M••••••••• L•• independent RIAJun 12, 2012 to Dec 31, 2014 · Madison, Wi
- S•• W••••• M••••••••• L•• formerJan 4, 2012 to Jan 13, 2021 · Madison, Wi
- S•• W••••• M••••••••• I••• unclassifiedDec 9, 2005 to Jan 3, 2012 · Madison, Wi
- S•• W••••• M••••••••• L•• to W•••••••• C•••••• M••••••••• L••left Jan 13, 2021, registered Jun 12, 2012 (-3137 days) · Other
- W•••••••• C•••••• M••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Dec 31, 2014, registered Jan 2, 2021 (2194 days) · Other
- S•• W••••• M••••••••• I••• to S•• W••••• M••••••••• L••left Jan 3, 2012, registered Jan 4, 2012 (1 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