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.
S•••• M• P•••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Nov 11, 2015 · Appleton, Wi
- S•• I••••••••• I••• formerOct 22, 2014 to Nov 2, 2015 · Appleton, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 21, 2013 to Oct 20, 2014 · Oshkosh, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2012 to Jun 17, 2013 · Saint Paul, Mn
- M••••• S•••••• wirehouseOct 29, 2010 to Nov 6, 2012 · Pensacola, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 12, 2010 · Gainesville, Fl
- M••••• S•••••• • C•• L•• unclassifiedSep 9, 2008 to Jun 1, 2009 · Gainesville, Fl
- S•• I••••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Nov 2, 2015, registered Nov 11, 2015 (9 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•• I••••••••• I•••left Oct 20, 2014, registered Oct 22, 2014 (2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 17, 2013, registered Oct 21, 2013 (126 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 6, 2012, registered Nov 13, 2012 (7 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address