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.
R•••••• A•••• K•••
- H•••••••• A•••••••• L•• BD affiliated currentsince Mar 21, 2022 · Fort Myers, Fl
- A•••• W••••• M••••••••• L•• independent RIANov 19, 2013 to Mar 18, 2022 · Brookfield, Wi
- E•••••••• A•••••••• L•• national BDOct 1, 2009 to Jun 24, 2013 · Milwaukee, Wi
- M•• F•••••••• S•••••••• I••• formerDec 5, 2005 to Sep 18, 2009 · Chicago, Il
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedOct 13, 2004 to Dec 31, 2005 · Milwaukee, Wi
- S••••• C•••••• M••••••••• I•• unclassifiedOct 7, 2003 to Jul 6, 2004 · Menomonee Falls, Wi
- A•••• W••••• M••••••••• L•• to H•••••••• A•••••••• L••left Mar 18, 2022, registered Mar 21, 2022 (3 days) · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to A•••• W••••• M••••••••• L••left Jun 24, 2013, registered Nov 19, 2013 (148 days) · Other
- M•• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Sep 18, 2009, registered Oct 1, 2009 (13 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2005, registered Dec 5, 2005 (-26 days) · corporate re-registration, not a move
- S••••• C•••••• M••••••••• I•• to M•••••• I••••••••• F••• S••••••• L••left Jul 6, 2004, registered Oct 13, 2004 (99 days) · Other
- R•••••• A•••• K••• left A•••• W••••• M••••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-03-21)Mar 18, 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