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.
A••• E•••••••• G•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Greenfield, Wi
- W••••••• F•••••••• S•••••••• I••• formerFeb 25, 2022 to Jan 19, 2024 · Greenfield, Wi
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 23, 2015 to Mar 1, 2022 · Milwaukee, Wi
- W•••• F•••• I••••••••• L•• unclassifiedOct 7, 2004 to May 1, 2006 · Davenport, Ia
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 21, 2002 to Apr 28, 2003 · Davenport, Ia
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2022, registered Feb 25, 2022 (-4 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• I••••••••• L•• to V••• F•••••••• A•••••••• I•••left May 1, 2006, registered Oct 23, 2015 (3462 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• I••••••••• L••left Apr 28, 2003, registered Oct 7, 2004 (528 days) · Other
- A••• E•••••••• G••••• left V••• F•••••••• A•••••••• I••• for W••••••• F•••••••• S•••••••• I••• (registered 2022-02-25)Mar 1, 2022 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address