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.
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L••••••• W•••••• S••••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Sep 14, 2022 · Conshohocken, Pa
- L•• F•••••••• L•• BD affiliatedNov 27, 2017 to Sep 8, 2022 · Fort Mill, Sc
- I••••••••• C•••••• O• A••••••• I••• formerMay 6, 2015 to Nov 9, 2017 · Appleton, Wi
- S•• I••••••••• I••• formerMay 6, 2015 to Nov 9, 2017 · Appleton, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 7, 2011 to Sep 19, 2013 · Appleton, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 28, 2007 to Sep 25, 2009 · Appleton, Wi
- L•• F•••••••• L•• to H•••••• T••••••• • K•••• L••left Sep 8, 2022, registered Sep 14, 2022 (6 days) · RIA to affiliated broker-dealer or bank
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 9, 2017, registered Nov 27, 2017 (18 days) · corporate re-registration, not a move
- S•• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Nov 9, 2017, registered May 6, 2015 (-918 days) · channel change inside one enterprise, not a move · moved with a team
- T••••••• I••••••••• M••••••••• I••• to S•• I••••••••• I•••left Sep 19, 2013, registered May 6, 2015 (594 days) · Other
- L••••••• W•••••• S•••••• left L•• F•••••••• L•• for H•••••• T••••••• • K•••• L•• (registered 2022-09-14)Sep 8, 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address