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••• W• Z•••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Jan 19, 2024 · Oconomowoc, Wi
- P••• A••••• S••••••••• L•• BD affiliatedMay 31, 2018 to Jun 16, 2021 · Pewaukee, Wi
- W•••••• • R••• formerFeb 19, 2015 to Jun 6, 2018 · Waukesha, Wi
- P•• W••••• M••••••••• BD affiliatedJul 8, 2014 to Dec 18, 2014 · Wauwatosa, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJun 12, 2007 to Jul 9, 2014 · Waukesha, Wi
- P••• A••••• S••••••••• L•• to B•••••••• A•••• M••••••••• L••left Jun 16, 2021, registered Jan 19, 2024 (947 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••••• • R••• to P••• A••••• S••••••••• L••left Jun 6, 2018, registered May 31, 2018 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•• W••••• M••••••••• to W•••••• • R•••left Dec 18, 2014, registered Feb 19, 2015 (63 days) · Other
- T••••••• I••••••••• M••••••••• I••• to P•• W••••• M•••••••••left Jul 9, 2014, registered Jul 8, 2014 (-1 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address