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••••• I••• mixed wealth currentsince Sep 11, 2018 · Racine, Wi
- C•••••• S••••• • C••• I••• national BDJun 4, 2008 to May 30, 2018 · Milwaukee, Wi
- S••••• C•••••• M••••••••• I•• unclassifiedMay 8, 2002 to Feb 20, 2004 · Menomonee Falls, Wi
- C•••••• S••••• • C••• I••• to J•••••• W••••• I•••left May 30, 2018, registered Sep 11, 2018 (104 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• C•••••• M••••••••• I•• to C•••••• S••••• • C••• I•••left Feb 20, 2004, registered Jun 4, 2008 (1566 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address