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•••• M•••• L•••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jun 17, 2016 · Brookfield, Wi
- R••••• W• B•••• • C•• I••••••••• mixed wealthJan 26, 2016 to Jun 14, 2016 · Oconomowoc, Wi
- P•• W••••• M••••••••• BD affiliatedMay 20, 2015 to Jan 22, 2016 · New Berlin, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 17, 2014 to Mar 5, 2015 · Lake Geneva, Wi
- W•••• F•••• A••••••• wirehouseMar 24, 2010 to Jan 21, 2014 · Lake Geneva, Wi
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Sep 22, 2009 · Lake Geneva, Wi
- R••••• W• B•••• • C•• I••••••••• to A••••• A•• P••••••• S•••••••left Jun 14, 2016, registered Jun 17, 2016 (3 days) · Other
- P•• W••••• M••••••••• to R••••• W• B•••• • C•• I•••••••••left Jan 22, 2016, registered Jan 26, 2016 (4 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P•• W••••• M•••••••••left Mar 5, 2015, registered May 20, 2015 (76 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 21, 2014, registered Jan 17, 2014 (-4 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address