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.
L•••• R••••• G••••••••
- G•••••• A•••••••• I••• independent RIA currentsince Mar 3, 2022 · Middleton, Wi
- S•••••••• A••••••• L•• national BDOct 26, 2006 to Apr 20, 2016 · Middleton, Wi
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedSep 27, 2004 to Jun 24, 2005 · Irving, Tx
- S•••••••• A••••••• L•• to G•••••• A•••••••• I•••left Apr 20, 2016, registered Mar 3, 2022 (2143 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• I••••••••• F••• S••••••• L•• to S•••••••• A••••••• L••left Jun 24, 2005, registered Oct 26, 2006 (489 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address