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•••• K•••• P••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 7, 2019 · Boise, Id
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 4, 2018 to Dec 20, 2018 · Meridian, Id
- I••••••••• C•••••• O• A••••••• I••• formerJan 2, 2015 to Mar 19, 2018 · Appleton, Wi
- S•• I••••••••• I••• formerFeb 28, 2006 to Mar 19, 2018 · Appleton, Wi
- M•• F•••••••• S•••••••• I••• formerJan 5, 2004 to Jan 5, 2004 · Mosinee, Wi
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 20, 2018, registered Jan 7, 2019 (18 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• C•••••• O• A••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 19, 2018, registered Apr 4, 2018 (16 days) · Other
- S•• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Mar 19, 2018, registered Jan 2, 2015 (-1172 days) · channel change inside one enterprise, not a move · moved with a team
- M•• F•••••••• S•••••••• I••• to S•• I••••••••• I•••left Jan 5, 2004, registered Feb 28, 2006 (785 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address