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.
C•••• A• R•••••••••
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Jun 3, 2021 · Waunakee, Wi
- J••• M••••• S••••••••• L•• wirehouseJan 8, 2021 to May 26, 2021 · Madison, Wi
- B•••••••• A•••• M••••••••• L•• independent RIASep 22, 2020 to Dec 18, 2020 · Madison, Wi
- B•••••••• A•••• M••••••••• L•• independent RIAJan 28, 2020 to Aug 18, 2020 · Reno, Nv
- M••••• S•••••• wirehouseJan 19, 2018 to Aug 16, 2019 · Middleton, Wi
- T•••• L•••• S••••••••• L•• unclassifiedNov 9, 2011 to Aug 25, 2017 · Madison, Wi
- C••••••••• C•••••• S••••••••• I••• independent RIANov 1, 2011 to Aug 24, 2017 · Madison, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 18, 2008 to Dec 31, 2009 · Madison, Wi
- B••• O•• S••••••••• C••••••••• unclassifiedNov 1, 2002 to Oct 3, 2003 · Watertown, Wi
- M•• I••••••••• M••••••••• C•••• formerAug 1, 2000 to Jan 8, 2003 · Milwaukee, Wi
- J••• M••••• S••••••••• L•• to T••••••••• F•••••••• A•••••••• L••left May 26, 2021, registered Jun 3, 2021 (8 days) · Wirehouse to affiliated broker-dealer or bank
- B•••••••• A•••• M••••••••• L•• to J••• M••••• S••••••••• L••left Dec 18, 2020, registered Jan 8, 2021 (21 days) · RIA to wirehouse
- M••••• S•••••• to B•••••••• A•••• M••••••••• L••left Aug 16, 2019, registered Jan 28, 2020 (165 days) · Wirehouse to independent RIA
- T•••• L•••• S••••••••• L•• to M••••• S••••••left Aug 25, 2017, registered Jan 19, 2018 (147 days) · Other
- C••••••••• C•••••• S••••••••• I••• to T•••• L•••• S••••••••• L••left Aug 24, 2017, registered Nov 9, 2011 (-2115 days) · Other
- M•• I•••••••• S•••••••• L•• to C••••••••• C•••••• S••••••••• I•••left Dec 31, 2009, registered Nov 1, 2011 (670 days) · Other
- B••• O•• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left Oct 3, 2003, registered Jul 18, 2008 (1750 days) · Other
- M•• I••••••••• M••••••••• C•••• to B••• O•• S••••••••• C•••••••••left Jan 8, 2003, registered Nov 1, 2002 (-68 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address