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•••••• H• M•••••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 18, 2020 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 15, 2019 to Feb 25, 2020 · Brookfield, Wi
- A•••••••• F•••• M••••••••• L•• asset managerJul 18, 2017 to Nov 1, 2018 · Menomonee Falls, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerOct 16, 2014 to Jun 14, 2017 · Milwaukee, Wi
- E•••••••• A•••••••• L•• national BDJan 14, 2013 to Sep 18, 2014 · Milwaukee, Wi
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Feb 25, 2020, registered Feb 18, 2020 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- A•••••••• F•••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 1, 2018, registered Feb 15, 2019 (106 days) · Other
- B•• H••••• F•••••••• A•••••••• I•• to A•••••••• F•••• M••••••••• L••left Jun 14, 2017, registered Jul 18, 2017 (34 days) · Other
- E•••••••• A•••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Sep 18, 2014, registered Oct 16, 2014 (28 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address