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.
W••• H• R••••••
- R•• C•••••• M••••••• L•• national BD currentsince Feb 1, 2021 · Green Bay, Wi
- A••••••••• I••••••••• S•••••••• I••• independent RIAMar 15, 2006 to Feb 24, 2021 · Green Bay, Wi
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Mar 9, 2006 · Oshkosh, Wi
- B••• O•• S••••••••• C••••••••• unclassifiedSep 12, 2003 to Jul 6, 2005 · Oshkosh, Wi
- A••••••••• I••••••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Feb 24, 2021, registered Feb 1, 2021 (-23 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•••• I••••••••• S••••••• C•••• to A••••••••• I••••••••• S•••••••• I•••left Mar 9, 2006, registered Mar 15, 2006 (6 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (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
- 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