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.
M•••••• R•••••• L••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 18, 2026 · Mount Pleasant, Wi
- N•••••• W••••• M••••••••• independent RIAApr 17, 2026 to Sep 1, 2026 · Dubuque, Ia
- L•• F•••••••• L•• BD affiliatedJan 4, 2022 to Apr 27, 2026 · Dubuque, Ia
- P••••••••• S••••• S••••••••• L•• institutionalJan 8, 2020 to Nov 29, 2020 · Dubuque, Ia
- L•• F•••••••• L•• BD affiliatedOct 11, 2017 to Apr 5, 2018 · Monroe, Wi
- G••••• P•••••••• S••••••••• I••• formerOct 10, 2007 to Oct 10, 2017 · Dubuque, Ia
- N•••••• W••••• M••••••••• to L•• F•••••••• L••left Sep 1, 2026, registered Sep 18, 2026 (17 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to N•••••• W••••• M•••••••••left Apr 27, 2026, registered Apr 17, 2026 (-10 days) · Affiliated broker-dealer or bank to independent RIA
- P••••••••• S••••• S••••••••• L•• to L•• F•••••••• L••left Nov 29, 2020, registered Jan 4, 2022 (401 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to P••••••••• S••••• S••••••••• L••left Apr 5, 2018, registered Jan 8, 2020 (643 days) · RIA to RIA
- G••••• P•••••••• S••••••••• I••• to L•• F•••••••• L••left Oct 10, 2017, registered Oct 11, 2017 (1 days) · Other
- M•••••• R•••••• L•••• registered as an investment adviser representative at L•• F•••••••• L••Sep 18, 2026 · Advisor registered · fact
- M•••••• R•••••• L•••• left N•••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2026-09-18)Sep 1, 2026 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address