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.
J•••••• M• K•••••
- G•••••• W••••• P•••••••• L•• independent RIA currentsince Oct 6, 2022 · Appleton, Wi
- A•••••••• P•••• I••• formerJul 24, 2020 to Dec 31, 2022 · Appleton, Wi
- E••••• J•••• national BDApr 12, 2019 to Jul 20, 2020 · Appleton, Wi
- C••• F•••••••• S•••••••• L••• formerJan 16, 2018 to Apr 8, 2019 · Menasha, Wi
- S•• I••••••••• I••• formerNov 18, 2010 to Jan 8, 2018 · Appleton, Wi
- I••••••••• C•••••• O• A••••••• I••• formerNov 18, 2010 to Jan 8, 2018 · Appleton, Wi
- U••• B•••••• I••••••••• I••• formerJul 23, 2007 to Sep 17, 2009 · Oshkosh, Wi
- A•••••••• P•••• I••• to G•••••• W••••• P•••••••• L••left Dec 31, 2022, registered Oct 6, 2022 (-86 days) · corporate re-registration, not a move
- E••••• J•••• to A•••••••• P•••• I•••left Jul 20, 2020, registered Jul 24, 2020 (4 days) · Affiliated broker-dealer or bank to independent RIA
- C••• F•••••••• S•••••••• L••• to E••••• J••••left Apr 8, 2019, registered Apr 12, 2019 (4 days) · Affiliated broker-dealer or bank to another
- I••••••••• C•••••• O• A••••••• I••• to C••• F•••••••• S•••••••• L•••left Jan 8, 2018, registered Jan 16, 2018 (8 days) · Other
- S•• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Jan 8, 2018, registered Nov 18, 2010 (-2608 days) · channel change inside one enterprise, not a move
- U••• B•••••• I••••••••• I••• to S•• I••••••••• I•••left Sep 17, 2009, registered Nov 18, 2010 (427 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address