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.
R••••• A•••••• K•••••••••
- T•• K••••••••• G•••• independent RIA currentsince Jun 25, 2024 · Mequon, Wi
- D••••• W••••• M••••••••• I••• independent RIAJun 15, 2021 to Jul 2, 2024 · Mequon, Wi
- L•• F•••••••• L•• BD affiliatedDec 20, 2011 to Jul 29, 2021 · Brookfield, Wi
- R•• C•••••• M••••••• L•• national BDJul 5, 2002 to Dec 23, 2011 · Milwaukee, Wi
- W•••• F•••• A••••••• wirehouseAug 28, 2000 to Jul 17, 2002 · Milwaukee, Wi
- D••••• W••••• M••••••••• I••• to T•• K••••••••• G••••left Jul 2, 2024, registered Jun 25, 2024 (-7 days) · RIA to a newly registered adviser · moved with a team
- L•• F•••••••• L•• to D••••• W••••• M••••••••• I•••left Jul 29, 2021, registered Jun 15, 2021 (-44 days) · Affiliated broker-dealer or bank to independent RIA
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Dec 23, 2011, registered Dec 20, 2011 (-3 days) · Other
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Jul 17, 2002, registered Jul 5, 2002 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- R••••• A•••••• K••••••••• left D••••• W••••• M••••••••• I••• for T•• K••••••••• G•••• (registered 2024-06-25)Jul 2, 2024 · 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