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•••• M• B••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Fitchburg, Wi
- W••••••• F•••••••• S•••••••• I••• formerDec 6, 2019 to Jan 19, 2024 · Fitchburg, Wi
- C••••• A•••••• N••••••• L•• formerAug 4, 2014 to Dec 12, 2019 · Fitchburg, Wi
- A••••••••• I••••••••• S•••••••• I••• independent RIAJan 29, 2009 to Aug 26, 2014 · Madison, Wi
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Dec 12, 2019, registered Dec 6, 2019 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• I••••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••left Aug 26, 2014, registered Aug 4, 2014 (-22 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