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.
G•••• R••••• K••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Sep 17, 2015 · Elm Grove, Wi
- W•••• F•••• A••••••• wirehouseAug 1, 2014 to Sep 1, 2015 · Milwaukee, Wi
- A••••••••• I••••••••• S•••••••• I••• independent RIAFeb 22, 2011 to Aug 26, 2014 · Whitefish Bay, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 31, 2005 to May 15, 2009 · East Troy, Wi
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Sep 1, 2015, registered Sep 17, 2015 (16 days) · Other
- A••••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Aug 26, 2014, registered Aug 1, 2014 (-25 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to A••••••••• I••••••••• S•••••••• I•••left May 15, 2009, registered Feb 22, 2011 (648 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
- No RAUM reportedderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address