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•••••• S•••••• F•••••
- W•••••• C••••• F•••••••• A••••••• L•• independent RIA currentsince Sep 4, 2020 · Verona, Wi
- T••• F•••••••• A••••••• formerNov 3, 2014 to Sep 30, 2020 · Madison, Wi
- M••••• S•••••• wirehouseJan 1, 2014 to Oct 9, 2014 · Bloomington, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 3, 2004 to Dec 7, 2006 · Minneapolis, Mn
- T••• F•••••••• A••••••• to W•••••• C••••• F•••••••• A••••••• L••left Sep 30, 2020, registered Sep 4, 2020 (-26 days) · RIA to RIA · moved with a team
- M••••• S•••••• to T••• F•••••••• A•••••••left Oct 9, 2014, registered Nov 3, 2014 (25 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Dec 7, 2006, registered Jan 1, 2014 (2582 days) · Wirehouse to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address