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.
D•••• S•••• L••
- L•• F•••••••• L•• BD affiliated currentsince Mar 24, 2021 · Thiensville, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerNov 1, 2010 to Mar 24, 2021 · Mequon, Wi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 13, 2007 to Nov 2, 2010 · Waukesha, Wi
- V••••• A•••• M••••••••• I•• unclassifiedDec 14, 2005 to Jul 24, 2007 · Rosemont, Il
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Nov 2, 2010, registered Nov 1, 2010 (-1 days) · Other
- V••••• A•••• M••••••••• I•• to U•••• F•••••••• S••••••• G••••• I•••left Jul 24, 2007, registered Jul 13, 2007 (-11 days) · Other
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