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.
- L••• I••• independent RIA currentsince Sep 11, 2023 · Bartlett, Tn
- H•••••• I••••••••• I••• independent RIANov 14, 2014 to Oct 5, 2022 · Neenah, Wi
- N••• F•••••••• G••••• I••• formerJun 21, 2007 to Nov 25, 2014 · Neenah, Wi
- H•••••• I••••••••• I••• to L••• I•••left Oct 5, 2022, registered Sep 11, 2023 (341 days) · RIA to RIA
- N••• F•••••••• G••••• I••• to H•••••• I••••••••• I•••left Nov 25, 2014, registered Nov 14, 2014 (-11 days) · Other
- J•••• M•••• E••••••• left H•••••• I••••••••• I••• for L••• I••• (registered 2023-09-11)Oct 5, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address