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.
M••• A••• Z••••
- W••••• F••••••••• I••• state registered currentsince Oct 2, 2020 · Fitchburg, Wi
- E••••••••• I••••••••• G•••• independent RIAMay 31, 2019 to Sep 22, 2020 · Waukesha, Wi
- S••••••••• W••••• M••••••••• L•• independent RIANov 24, 2009 to Feb 18, 2019 · Pewaukee, Wi
- P•••••• P••••••• independent RIAAug 25, 2009 to Nov 18, 2009 · Hartland, Wi
- N••• F•••••••• G••••• I••• formerJun 26, 2009 to Sep 14, 2009 · Delafield, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 12, 2007 to Jun 16, 2009 · Delafield, Wi
- E••••••••• I••••••••• G•••• to W••••• F••••••••• I•••left Sep 22, 2020, registered Oct 2, 2020 (10 days) · RIA to a state-registered adviser
- S••••••••• W••••• M••••••••• L•• to E••••••••• I••••••••• G••••left Feb 18, 2019, registered May 31, 2019 (102 days) · RIA to RIA
- P•••••• P••••••• to S••••••••• W••••• M••••••••• L••left Nov 18, 2009, registered Nov 24, 2009 (6 days) · Other
- N••• F•••••••• G••••• I••• to P•••••• P•••••••left Sep 14, 2009, registered Aug 25, 2009 (-20 days) · Other
- M•• I•••••••• S•••••••• L•• to N••• F•••••••• G••••• I•••left Jun 16, 2009, registered Jun 26, 2009 (10 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address