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.
N••••• D••••• S•••••••••
- A•• 4••••• M••••••••• former currentsince Sep 3, 2021 · Appleton, Wi
- A•• 4••••• M••••••••• formerMay 1, 2015 to Aug 25, 2021 · Appleton, Wi
- M•••••• S•••••• W••••• M••••••••• I••• independent RIAApr 3, 2009 to Jun 3, 2015 · Appleton, Wi
- S•• I••••••••• I••• formerOct 10, 2005 to Apr 7, 2009 · Appleton, Wi
- M•••••• S•••••• W••••• M••••••••• I••• to A•• 4••••• M•••••••••left Jun 3, 2015, registered May 1, 2015 (-33 days) · Other
- S•• I••••••••• I••• to M•••••• S•••••• W••••• M••••••••• I•••left Apr 7, 2009, registered Apr 3, 2009 (-4 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
- Former SEC-registered adviserderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address