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.
B•••• S•••• C••••••
- W••••••••• A••••••• independent RIA currentsince Jan 5, 2021 · Delafield, Wi
- W••••••••• A••••••• formerMay 7, 2015 to Dec 31, 2020 · Delafield, Wi
- L••• C•••••• W••••• M••••••••• unclassifiedApr 17, 2014 to May 6, 2015 · Delafield, Wi
- N••• F•••••••• G••••• I••• formerJul 1, 2009 to May 6, 2015 · Houston, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 14, 1998 to Jun 19, 2009 · Delafield, Wi
- W••••••••• A••••••• to W••••••••• A•••••••left Dec 31, 2020, registered Jan 5, 2021 (5 days) · corporate re-registration, not a move
- L••• C•••••• W••••• M••••••••• to W••••••••• A•••••••left May 6, 2015, registered May 7, 2015 (1 days) · Other · moved with a team
- N••• F•••••••• G••••• I••• to L••• C•••••• W••••• M•••••••••left May 6, 2015, registered Apr 17, 2014 (-384 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to N••• F•••••••• G••••• I•••left Jun 19, 2009, registered Jul 1, 2009 (12 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