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.
D•••••• J•••• T•••••
- N••••• A•••• M••••••••• L•• mixed wealth currentsince Nov 17, 2015 · Chicago, Il
- W•••••• B•••• • C•••••• L••••• BD affiliatedFeb 6, 2007 to Nov 6, 2015 · Chicago, Il
- A•••••••• F•••• M••••••••• L•• asset managerJan 1, 2005 to Jun 1, 2005 · Menomonee Falls, Wi
- S••••• C•••••• M••••••••• I•• unclassifiedMar 20, 2003 to Jan 1, 2005 · Menomonee Falls, Wi
- W•••••• B•••• • C•••••• L••••• to N••••• A•••• M••••••••• L••left Nov 6, 2015, registered Nov 17, 2015 (11 days) · Other
- A•••••••• F•••• M••••••••• L•• to W•••••• B•••• • C•••••• L•••••left Jun 1, 2005, registered Feb 6, 2007 (615 days) · Other
- S••••• C•••••• M••••••••• I•• to A•••••••• F•••• M••••••••• L••left Jan 1, 2005, registered Jan 1, 2005 (0 days) · corporate re-registration, not a move
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address