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•••• E••••• A••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Apr 24, 2018 · Green Bay, Wi
- L•• F•••••••• L•• BD affiliatedOct 11, 2011 to May 7, 2018 · Oshkosh, Wi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 25, 2007 to Oct 11, 2011 · Charlotte, Nc
- V••••• A•••• M••••••••• I•• unclassifiedJan 4, 2007 to Jul 24, 2007 · Oshkosh, Wi
- L•• F•••••••• L•• to R••••• W• B•••• • C•• I•••••••••left May 7, 2018, registered Apr 24, 2018 (-13 days) · RIA to RIA
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
- V••••• A•••• M••••••••• I•• to U•••• F•••••••• S••••••• G••••• I•••left Jul 24, 2007, registered Jul 25, 2007 (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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address