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.
K•••• W• B•••••••••
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Jan 23, 2017 · Cologate, Wi
- L•• F•••••••• L•• BD affiliatedMar 10, 2015 to Dec 13, 2016 · Cedarburg, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 11, 2015 · Pewaukee, Wi
- C•••• I••••••••• S••••••• C•••• formerApr 7, 2010 to Oct 1, 2012 · Pewaukee, Wi
- M•• F•••••••• A•••••••• I••• formerJan 4, 2006 to Mar 30, 2010 · West Bend, Wi
- L•• F•••••••• L•• to T••••••••• R••••••••• A•••••••• L••left Dec 13, 2016, registered Jan 23, 2017 (41 days) · Other
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Mar 11, 2015, registered Mar 10, 2015 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•• F•••••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••left Mar 30, 2010, registered Apr 7, 2010 (8 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