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.
K•••• P• E••••
- E••••••• F•••••••• L•• independent RIA currentsince Jun 1, 2021 · Brookfield, Wi
- T••••••• A•••••• N••••••• L•• BD affiliatedNov 13, 2020 to Jun 1, 2021 · Minneapolis, Mn
- K••• F•••••••• S••••••• formerJan 7, 2003 to Nov 25, 2020 · Mequon, Wi
- K••• F•••••••• S••••••• formerJan 22, 2002 to Dec 31, 2002 · Mequon, Wi
- T••••••• A•••••• N••••••• L•• to E••••••• F•••••••• L••left Jun 1, 2021, registered Jun 1, 2021 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser
- K••• F•••••••• S••••••• to T••••••• A•••••• N••••••• L••left Nov 25, 2020, registered Nov 13, 2020 (-12 days) · RIA to affiliated broker-dealer or bank
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