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.
C••• A•••• V•••••••
- D••••• W••••• M••••••••• I••• independent RIA currentsince Apr 1, 2010 · Mequon, Wi
- R•• C•••••• M••••••• L•• national BDNov 11, 2004 to Apr 12, 2010 · Milwaukee, Wi
- I••••••••• A••••••• S•••••••• L•• unclassifiedMar 7, 2000 to Dec 31, 2004 · Milwaukee, Wi
- R•• C•••••• M••••••• L•• to D••••• W••••• M••••••••• I•••left Apr 12, 2010, registered Apr 1, 2010 (-11 days) · Other
- I••••••••• A••••••• S•••••••• L•• to R•• C•••••• M••••••• L••left Dec 31, 2004, registered Nov 11, 2004 (-50 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address