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.
B•••• J•••• M•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 29, 2022 · Shawano, Wi
- A••••••••• I••••••••• S•••••••• I••• independent RIAJul 1, 2021 to Aug 30, 2022 · Manitowoc, Wi
- A••••••••• F•••••••• S•••••••• L•• national BDJul 31, 2020 to Jun 18, 2021 · Green Bay, Wi
- C••• F•••••••• S•••••••• L••• formerMay 22, 2015 to Jul 31, 2020 · Appleton, Wi
- L•• F•••••••• L•• BD affiliatedMar 11, 2011 to May 19, 2015 · Suamico, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedSep 14, 2009 to Mar 14, 2011 · Appleton, Wi
- A••••••••• F•••••••• S•••••••• L•• national BDDec 8, 2004 to Aug 3, 2009 · Green Bay, Wi
- A••••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Aug 30, 2022, registered Aug 29, 2022 (-1 days) · RIA to RIA
- A••••••••• F•••••••• S•••••••• L•• to A••••••••• I••••••••• S•••••••• I•••left Jun 18, 2021, registered Jul 1, 2021 (13 days) · Affiliated broker-dealer or bank to independent RIA
- C••• F•••••••• S•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Jul 31, 2020, registered Jul 31, 2020 (0 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left May 19, 2015, registered May 22, 2015 (3 days) · Other
- T••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••left Mar 14, 2011, registered Mar 11, 2011 (-3 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Aug 3, 2009, registered Sep 14, 2009 (42 days) · Other
- B•••• J•••• M••••••••• left A••••••••• I••••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-08-29)Aug 30, 2022 · Advisor changed firm · fact
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address