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.
D••••• J••• L•••••••
- I••••• F•••••••• independent RIA currentsince Nov 13, 2023 · Germantown, Wi
- F•••••• W••••• A••••••• formerSep 30, 2014 to Dec 12, 2023 · Brookfield, Wi
- N•••••• F•••••••• G••••• I••• independent RIAAug 12, 2013 to Sep 30, 2014 · Brookfield, Wi
- D••••••••• F•••••••• S•••••••• I•• formerJun 6, 2006 to Dec 31, 2013 · Brookfield, Wi
- C•••• I••••••••• S••••••• C•••• formerMar 17, 2006 to May 25, 2006 · Brookfield, Wi
- B••• O•• S••••••••• C••••••••• unclassifiedOct 5, 2004 to Mar 14, 2006 · Milwaukee, Wi
- S••••• C•••••• M••••••••• I•• unclassifiedSep 1, 2000 to Sep 13, 2004 · Menomonee Falls, Wi
- F•••••• W••••• A••••••• to I••••• F••••••••left Dec 12, 2023, registered Nov 13, 2023 (-29 days) · RIA to RIA · moved with a team
- N•••••• F•••••••• G••••• I••• to F•••••• W••••• A•••••••left Sep 30, 2014, registered Sep 30, 2014 (0 days) · Other
- D••••••••• F•••••••• S•••••••• I•• to N•••••• F•••••••• G••••• I•••left Dec 31, 2013, registered Aug 12, 2013 (-141 days) · Other
- C•••• I••••••••• S••••••• C•••• to D••••••••• F•••••••• S•••••••• I••left May 25, 2006, registered Jun 6, 2006 (12 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Mar 14, 2006, registered Mar 17, 2006 (3 days) · Other
- S••••• C•••••• M••••••••• I•• to B••• O•• S••••••••• C•••••••••left Sep 13, 2004, registered Oct 5, 2004 (22 days) · Other
- D••••• J••• L••••••• left F•••••• W••••• A••••••• for I••••• F•••••••• (registered 2023-11-13)Dec 12, 2023 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address