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.
J•••••• W•••••• K•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 7, 2022 · Winneconne, Wi
- T•• A•••••••• I••• BD affiliatedJul 1, 2015 to Feb 2, 2022 · Appleton, Wi
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 22, 2011 to Dec 31, 2013 · Windsor, Ct
- T•• A•••••••• I••• to L•• F•••••••• L••left Feb 2, 2022, registered Feb 7, 2022 (5 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to T•• A•••••••• I•••left Dec 31, 2013, registered Jul 1, 2015 (547 days) · Other
- J•••••• W•••••• K••••••••• left T•• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-02-07)Feb 2, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address