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.
- E••••• J•••• national BD currentsince Jan 4, 2013 · Milton, Wi
- A••••••• P••••••••• A•••••••• I•• formerJul 23, 2012 to Jan 3, 2013 · Holbrook, Ny
- M•• I••••••••• M••••••••• C•••• formerApr 28, 2010 to Feb 8, 2011 · Milwaukee, Wi
- M•• F•••••••• A•••••••• I••• formerApr 1, 2008 to Mar 30, 2010 · Beloit, Wi
- A••••••• P••••••••• A•••••••• I•• to E••••• J••••left Jan 3, 2013, registered Jan 4, 2013 (1 days) · Other
- M•• I••••••••• M••••••••• C•••• to A••••••• P••••••••• A•••••••• I••left Feb 8, 2011, registered Jul 23, 2012 (531 days) · Other
- M•• F•••••••• A•••••••• I••• to M•• I••••••••• M••••••••• C••••left Mar 30, 2010, registered Apr 28, 2010 (29 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address