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.
K•••• C• S••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Neenah, Wi
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 18, 2022 to Mar 31, 2025 · Sheboygan, Wi
- O••••••••• S••••••••• I••• BD affiliatedMar 17, 2021 to Oct 25, 2021 · Sheboygan Falls, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 11, 2018 to Feb 19, 2021 · Sheboygan Falls, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 11, 2018 to May 7, 2018 · Appleton, Wi
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- O••••••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 25, 2021, registered Aug 18, 2022 (297 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Feb 19, 2021, registered Mar 17, 2021 (26 days) · Affiliated broker-dealer or bank to another
- T••••••• I••••••••• M••••••••• I••• to M•• I•••••••• S•••••••• L••left May 7, 2018, registered May 11, 2018 (4 days) · Affiliated broker-dealer or bank to another
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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address