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.
J•••••••• B•••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 18, 2014 · Longboat Key, Fl
- A••••••• M••••••••• G•••• I•• independent RIANov 22, 2010 to Apr 3, 2014 · Eau Claire, Wi
- M•• I••••••••• M••••••••• C•••• formerJul 9, 2009 to Jun 21, 2010 · Milwaukee, Wi
- M•• F•••••••• A•••••••• I••• formerSep 1, 2006 to Mar 25, 2010 · Eau Claire, Wi
- A••••••• M••••••••• G•••• I•• independent RIAJan 31, 2006 to Sep 21, 2006 · Eau Claire, Wi
- R•• C•••••• M••••••• L•• national BDApr 13, 2004 to Oct 6, 2005 · Eau Claire, Wi
- A••••••• M••••••••• G•••• I•• to S•••••• N••••••• • C••••••• I•••••••••left Apr 3, 2014, registered Apr 18, 2014 (15 days) · Other
- M•• I••••••••• M••••••••• C•••• to A••••••• M••••••••• G•••• I••left Jun 21, 2010, registered Nov 22, 2010 (154 days) · Other
- M•• F•••••••• A•••••••• I••• to M•• I••••••••• M••••••••• C••••left Mar 25, 2010, registered Jul 9, 2009 (-259 days) · Other
- A••••••• M••••••••• G•••• I•• to M•• F•••••••• A•••••••• I•••left Sep 21, 2006, registered Sep 1, 2006 (-20 days) · Other
- R•• C•••••• M••••••• L•• to A••••••• M••••••••• G•••• I••left Oct 6, 2005, registered Jan 31, 2006 (117 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address