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•••• A•••• W••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 30, 2023 · De Pere, Wi
- S•••••••• F••••••••• I••• formerMar 30, 2011 to Sep 2, 2023 · S••••Sdale, Az
- E••••• J•••• national BDDec 21, 2000 to Mar 29, 2011 · Green Bay, Wi
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Sep 2, 2023, registered Aug 30, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to S•••••••• F••••••••• I•••left Mar 29, 2011, registered Mar 30, 2011 (1 days) · Other
- S•••• A•••• W•••••• left S•••••••• F••••••••• I••• for L•• F•••••••• L•• (registered 2023-08-30)Sep 2, 2023 · 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
- 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