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•• J••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 2, 2011 · Chippewa Falls, Wi
- M•••••• P••••••••• P•••••••• L••• independent RIAJun 12, 2003 to May 31, 2011 · Eau Claire, Wi
- E•••••••• A•••••••• L•• national BDDec 4, 2002 to Jul 20, 2011 · New York, Ny
- E•••••••• A•••••••• L•• to M•••••• P••••••••• P•••••••• L•••left Jul 20, 2011, registered Jun 12, 2003 (-2960 days) · Other
- M•••••• P••••••••• P•••••••• L••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 31, 2011, registered Aug 2, 2011 (63 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
- 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