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.
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- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Apr 16, 2021 · Milwaukee, Wi
- P•••••••• S••••••••• I••• BD affiliatedNov 15, 2019 to Mar 5, 2021 · Wauwatosa, Wi
- S••••••• I••••••••• A•••••••• I••• mixed wealthDec 18, 2017 to Jun 4, 2019 · Mequon, Wi
- E•••••• A••••••• G••••• L•• BD affiliatedFeb 28, 2012 to Dec 21, 2017 · Greenwood Village, Co
- P•••••••• S••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 5, 2021, registered Apr 16, 2021 (42 days) · Other
- S••••••• I••••••••• A•••••••• I••• to P•••••••• S••••••••• I•••left Jun 4, 2019, registered Nov 15, 2019 (164 days) · RIA to affiliated broker-dealer or bank
- E•••••• A••••••• G••••• L•• to S••••••• I••••••••• A•••••••• I•••left Dec 21, 2017, registered Dec 18, 2017 (-3 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
- No RAUM reportedderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address