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.
S•••• L••• K•••
- P•••••• C••••• S•••••••• L•• BD affiliated currentsince Aug 22, 2018 · Appleton, Wi
- I••••••••• C•••••• O• A••••••• I••• formerJan 2, 2014 to Jun 25, 2018 · Appleton, Wi
- S•• I••••••••• I••• formerSep 5, 2000 to Jun 25, 2018 · Appleton, Wi
- I••••••••• C•••••• O• A••••••• I••• to P•••••• C••••• S•••••••• L••left Jun 25, 2018, registered Aug 22, 2018 (58 days) · Other
- S•• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Jun 25, 2018, registered Jan 2, 2014 (-1635 days) · channel change inside one enterprise, not a move · moved with a team
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address