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.
A•••• D••••• S••••••••
- H•••••• S••••••••• I••• BD affiliated currentsince Nov 17, 2021 · Grafton, Wi
- L•• F•••••••• L•• BD affiliatedJun 19, 2020 to Aug 26, 2021 · Madison, Wi
- P•••• S•••••• • C•• institutionalMar 2, 2017 to Oct 17, 2018 · Milwaukee, Wi
- N•••••••• A•••• M••••••••• independent RIAMay 26, 2015 to Nov 30, 2016 · Milwaukee, Wi
- B•• F•••••••• A••••••• BD affiliatedOct 21, 2011 to May 18, 2015 · Milwaukee, Wi
- S••••• A••• A•••• M••••••••• I••• formerOct 20, 2010 to Oct 17, 2011 · Milwaukee, Wi
- S••••• A••• A•••• M••••••••• I••• formerAug 12, 2009 to Aug 12, 2009 · Birmingham, Al
- L•• F•••••••• L•• to H•••••• S••••••••• I•••left Aug 26, 2021, registered Nov 17, 2021 (83 days) · Affiliated broker-dealer or bank to another
- P•••• S•••••• • C•• to L•• F•••••••• L••left Oct 17, 2018, registered Jun 19, 2020 (611 days) · Other
- N•••••••• A•••• M••••••••• to P•••• S•••••• • C••left Nov 30, 2016, registered Mar 2, 2017 (92 days) · Other
- B•• F•••••••• A••••••• to N•••••••• A•••• M•••••••••left May 18, 2015, registered May 26, 2015 (8 days) · Other
- S••••• A••• A•••• M••••••••• I••• to B•• F•••••••• A•••••••left Oct 17, 2011, registered Oct 21, 2011 (4 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