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••••• F• D•••••••
- O•••• W••••• M••••••••• L•• independent RIA currentsince Jul 27, 2021 · Altoona, Wi
- C••••••••• F•••••••• N•••••• national BDOct 16, 2020 to Oct 27, 2020 · Onalaska, Wi
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 30, 2021 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedFeb 9, 2009 to Jan 3, 2011 · Lacrosse, Wi
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Jul 30, 2021, registered Oct 16, 2020 (-287 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••••• F•••••••• N•••••• to O•••• W••••• M••••••••• L••left Oct 27, 2020, registered Jul 27, 2021 (273 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address