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.
P•••••• R••••• M•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Green Bay, Wi
- W••••••• F•••••••• S•••••••• I••• formerOct 27, 2017 to Jan 19, 2024 · Appleton, Wi
- S•• I••••••••• I••• formerApr 18, 2011 to Oct 30, 2017 · Depere, Wi
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 17, 2009 to Apr 19, 2011 · Alameda, Ca
- O•••• W•••••• I••• BD affiliatedJan 9, 2006 to Mar 4, 2009 · Walnut Creek, Ca
- S••••••• F•••••••• S•••••••• I••• unclassifiedSep 22, 2005 to Sep 28, 2010 · Walnut Creek, Ca
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- S•• I••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Oct 30, 2017, registered Oct 27, 2017 (-3 days) · Other · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S•• I••••••••• I•••left Apr 19, 2011, registered Apr 18, 2011 (-1 days) · channel change inside one enterprise, not a move
- S••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Sep 28, 2010, registered Jan 9, 2006 (-1723 days) · Other
- O•••• W•••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Mar 4, 2009, registered Feb 17, 2009 (-15 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address