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••••••••• D•••• F••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 23, 2019 · Altoona, Wi
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Jul 1, 2019 · Chippewa Falls, Wi
- I••••• F•••••••• C••••••••• formerJul 15, 2014 to Feb 16, 2018 · Chippewa Falls, Wi
- A••••••••• I••••••••• S•••••••• I••• independent RIADec 16, 2005 to Jun 27, 2014 · Eau Claire, Wi
- M•••••• P••••••••• P•••••••• L••• independent RIAJan 30, 2004 to Dec 14, 2005 · Eau Claire, Wi
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Jul 1, 2019, registered Aug 23, 2019 (53 days) · RIA to affiliated broker-dealer or bank
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 16, 2018, registered Feb 14, 2018 (-2 days) · corporate re-registration, not a move
- A••••••••• I••••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Jun 27, 2014, registered Jul 15, 2014 (18 days) · Other
- M•••••• P••••••••• P•••••••• L••• to A••••••••• I••••••••• S•••••••• I•••left Dec 14, 2005, registered Dec 16, 2005 (2 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address