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•••••• J••• W••••••
- D•••• • A••••••••• L•• independent RIA currentsince Dec 7, 2022 · Waukesha, Wi
- A•••• W••••• M••••••••• L•• independent RIAFeb 17, 2012 to Nov 17, 2022 · Brookfield, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerSep 22, 2008 to Jan 11, 2012 · Franklin, Wi
- O• I••••••••• M••••••••• C• BD affiliatedAug 6, 2007 to Sep 24, 2008 · Brookfield, Wi
- W••••• H••••• I••••••••• A••••••• L•• formerJan 11, 2006 to Jul 12, 2006 · San Mateo, Ca
- D••••••••• F•••••••• S•••••••• I•• formerMar 31, 2005 to Apr 12, 2006 · Brookfield, Wi
- A•••• W••••• M••••••••• L•• to D•••• • A••••••••• L••left Nov 17, 2022, registered Dec 7, 2022 (20 days) · RIA to RIA
- B•• H••••• F•••••••• A•••••••• I•• to A•••• W••••• M••••••••• L••left Jan 11, 2012, registered Feb 17, 2012 (37 days) · Other
- O• I••••••••• M••••••••• C• to B•• H••••• F•••••••• A•••••••• I••left Sep 24, 2008, registered Sep 22, 2008 (-2 days) · Other
- W••••• H••••• I••••••••• A••••••• L•• to O• I••••••••• M••••••••• C•left Jul 12, 2006, registered Aug 6, 2007 (390 days) · Other
- D••••••••• F•••••••• S•••••••• I•• to W••••• H••••• I••••••••• A••••••• L••left Apr 12, 2006, registered Jan 11, 2006 (-91 days) · Other
- R•••••• J••• W•••••• left A•••• W••••• M••••••••• L•• for D•••• • A••••••••• L•• (registered 2022-12-07)Nov 17, 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