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.
N••••• J• F•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 1, 2021 · Waukesha, Wi
- E••••• J•••• national BDApr 6, 2018 to Feb 2, 2021 · Hartland, Wi
- H••••••• F•••• asset managerJun 24, 2015 to Apr 9, 2018 · Hartland, Wi
- A••••• P•••••• I••••••••• A•••• M••••••••• I••• formerMar 27, 2012 to Jun 7, 2013 · Boston, Ma
- E••••• J•••• to R•••••• J•••• • A••••••••• I•••left Feb 2, 2021, registered Feb 1, 2021 (-1 days) · Affiliated broker-dealer or bank to another
- H••••••• F•••• to E••••• J••••left Apr 9, 2018, registered Apr 6, 2018 (-3 days) · Other
- A••••• P•••••• I••••••••• A•••• M••••••••• I••• to H••••••• F••••left Jun 7, 2013, registered Jun 24, 2015 (747 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address