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••••• M•••••• B•••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Sep 19, 2022 · Milwaukee, Wi
- F•••••• W••••• A••••••• formerFeb 22, 2022 to Sep 30, 2022 · Brookfield, Wi
- S•••••••• F••••••••• I••• formerFeb 9, 2018 to Feb 24, 2022 · Milwaukee, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Feb 15, 2018 · Wauwatosa, Wi
- M•• F•••••••• S•••••••• I••• formerJul 11, 2005 to Mar 25, 2017 · Milwaukee, Wi
- F•••••• W••••• A••••••• to B•••••••• A•••• M••••••••• L••left Sep 30, 2022, registered Sep 19, 2022 (-11 days) · RIA to RIA · moved with a team
- S•••••••• F••••••••• I••• to F•••••• W••••• A•••••••left Feb 24, 2022, registered Feb 22, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•• I•••••••• S•••••••• L•• to S•••••••• F••••••••• I•••left Feb 15, 2018, registered Feb 9, 2018 (-6 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- R••••• M•••••• B••••• left F•••••• W••••• A••••••• for B•••••••• A•••• M••••••••• L•• (registered 2022-09-19)Sep 30, 2022 · Advisor changed firm · fact
- R••••• M•••••• B••••• left S•••••••• F••••••••• I••• for F•••••• W••••• A••••••• (registered 2022-02-22)Feb 24, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address