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.
E•••••••• L•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 18, 2024 · Milwaukee, Wi
- L•• F•••••••• L•• BD affiliatedApr 29, 2020 to Jun 4, 2020 · Brookfield, Wi
- J•••••• W••••• I••• mixed wealthSep 12, 2018 to May 27, 2020 · Brookfield, Wi
- R••••• W• B•••• • C•• I••••••••• mixed wealthSep 27, 2016 to Jul 30, 2018 · Waukesha, Wi
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Jun 4, 2020, registered Mar 18, 2024 (1383 days) · Affiliated broker-dealer or bank to wirehouse
- J•••••• W••••• I••• to L•• F•••••••• L••left May 27, 2020, registered Apr 29, 2020 (-28 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R••••• W• B•••• • C•• I••••••••• to J•••••• W••••• I•••left Jul 30, 2018, registered Sep 12, 2018 (44 days) · RIA to RIA
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