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.
F•••• A•••••• M••••• I••
- L•• F•••••••• L•• BD affiliated currentsince Jul 17, 2013 · Wauwatosa, Wi
- P•• W••••• M••••••••• BD affiliatedSep 12, 2011 to Jul 16, 2013 · Milwaukee, Wi
- L•• F•••••••• L•• BD affiliatedApr 1, 2010 to Sep 21, 2011 · Fort Mill, Sc
- U••• B•••••• I••••••••• I••• formerJul 18, 2007 to Apr 5, 2010 · Muskego, Wi
- W•••• F•••• A••••••• wirehouseMar 16, 2007 to Jul 17, 2007 · Charlotte, Nc
- C•••• I••••••••• S••••••• C•••• formerApr 3, 2006 to Sep 6, 2006 · Pewaukee, Wi
- W•••• F•••• A••••••• wirehouseDec 1, 2005 to Mar 27, 2006 · Salisbury, Nc
- M•• F•••••••• A•••••••• I••• formerSep 23, 2005 to Sep 23, 2005 · Elm Grove, Wi
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jul 16, 2013, registered Jul 17, 2013 (1 days) · Other
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Sep 21, 2011, registered Sep 12, 2011 (-9 days) · Other
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Apr 5, 2010, registered Apr 1, 2010 (-4 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Jul 17, 2007, registered Jul 18, 2007 (1 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Sep 6, 2006, registered Mar 16, 2007 (191 days) · Other
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Mar 27, 2006, registered Apr 3, 2006 (7 days) · Other
- M•• F•••••••• A•••••••• I••• to W•••• F•••• A•••••••left Sep 23, 2005, registered Dec 1, 2005 (69 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address