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••••• A•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · West Des Moines, Ia
- T••••••• A•••••• N••••••• L•• BD affiliatedJun 7, 2021 to Sep 23, 2022 · Appleton, Wi
- P•••••• C••••• S•••••••• L•• BD affiliatedJul 19, 2018 to May 24, 2021 · Appleton, Wi
- S•• I••••••••• I••• formerSep 24, 2001 to Jun 25, 2018 · Appleton, Wi
- T••••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 23, 2022, registered Jun 29, 2023 (279 days) · Affiliated broker-dealer or bank to another
- P•••••• C••••• S•••••••• L•• to T••••••• A•••••• N••••••• L••left May 24, 2021, registered Jun 7, 2021 (14 days) · Affiliated broker-dealer or bank to another
- S•• I••••••••• I••• to P•••••• C••••• S•••••••• L••left Jun 25, 2018, registered Jul 19, 2018 (24 days) · Other
- R••• J••••• A••••• left T••••••• A•••••• N••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)Sep 23, 2022 · a•••••• firm change · 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
- 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