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.
S••• P•••• R••••
- C••••••• P••••••• independent RIA currentsince Oct 5, 2022 · Overland Park, Ks
- W••••• F•••••••• A•••••••• L•• formerJul 3, 2013 to Oct 12, 2022 · Milwaukee, Wi
- W••••• H••••• I••••••••• A••••••• L•• formerNov 12, 2010 to Aug 9, 2013 · San Mateo, Ca
- L•• W••••• M••••••••• L••• unclassifiedNov 12, 2010 to Sep 26, 2011 · Rockford, Il
- L•• W••••• M••••••••• L••• unclassifiedDec 17, 2002 to Dec 31, 2004 · Rockford, Il
- L•• W••••• M••••••••• L••• unclassifiedDec 17, 2002 to Nov 1, 2010 · Rockford, Il
- W••••• F•••••••• A•••••••• L•• to C••••••• P•••••••left Oct 12, 2022, registered Oct 5, 2022 (-7 days) · corporate re-registration, not a move
- W••••• H••••• I••••••••• A••••••• L•• to W••••• F•••••••• A•••••••• L••left Aug 9, 2013, registered Jul 3, 2013 (-37 days) · channel change inside one enterprise, not a move
- L•• W••••• M••••••••• L••• to W••••• H••••• I••••••••• A••••••• L••left Sep 26, 2011, registered Nov 12, 2010 (-318 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address