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.
R••••• A•••• D• D•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 19, 2012 · Brookfield, Wi
- R••••• W• B•••• • C•• I••••••••• mixed wealthOct 23, 2009 to Oct 30, 2012 · Oconomowoc, Wi
- I•• W••••• P•••••••• L•• independent RIAMar 11, 2009 to Oct 26, 2009 · Waukesha, Wi
- S•••• I••••••••• formerAug 11, 2006 to Nov 21, 2007 · Milwaukee, Wi
- S••••• C•••••• M••••••••• I•• unclassifiedJun 28, 2004 to Aug 13, 2004 · Menomonee Falls, Wi
- R••••• W• B•••• • C•• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 30, 2012, registered Oct 19, 2012 (-11 days) · Other
- I•• W••••• P•••••••• L•• to R••••• W• B•••• • C•• I•••••••••left Oct 26, 2009, registered Oct 23, 2009 (-3 days) · Other
- S•••• I••••••••• to I•• W••••• P•••••••• L••left Nov 21, 2007, registered Mar 11, 2009 (476 days) · Other
- S••••• C•••••• M••••••••• I•• to S•••• I•••••••••left Aug 13, 2004, registered Aug 11, 2006 (728 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address