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.
P••••• E••• W•••••••
- G•••••• W••••• P•••••••• L•• independent RIA currentsince Apr 14, 2025 · Appleton, Wi
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Sep 14, 2023 · Appleton, Wi
- C••••• A•••••• N••••••• L•• formerJan 10, 2019 to Jun 29, 2023 · Appleton, Wi
- H•••••• I••••••••• I••• independent RIAJul 10, 2018 to Dec 12, 2018 · Oshkosh, Wi
- I••••• F•••••••• C••••••••• formerMar 27, 2018 to Jun 25, 2018 · Appleton, Wi
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 27, 2018 to Jun 25, 2018 · Appleton, Wi
- I••••••••• C•••••• O• A••••••• I••• formerJan 29, 2010 to Jun 25, 2018 · Appleton, Wi
- S•• I••••••••• I••• formerJul 15, 2008 to Jun 25, 2018 · Appleton, Wi
- W•••• F•••• I••••••••• L•• unclassifiedJun 15, 2005 to Jul 21, 2008 · Appleton, Wi
- C••••• I••••••••• A••••••• L•• to G•••••• W••••• P•••••••• L••left Sep 14, 2023, registered Apr 14, 2025 (578 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- H•••••• I••••••••• I••• to C••••• A•••••• N••••••• L••left Dec 12, 2018, registered Jan 10, 2019 (29 days) · RIA to affiliated broker-dealer or bank
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to I••••• F•••••••• C•••••••••left Jun 25, 2018, registered Mar 27, 2018 (-90 days) · Other
- I••••••••• C•••••• O• A••••••• I••• to I••••• F•••••••• C•••••••••left Jun 25, 2018, registered Mar 27, 2018 (-90 days) · channel change inside one enterprise, not a move
- I••••• F•••••••• C••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jun 25, 2018, registered Mar 27, 2018 (-90 days) · channel change inside one enterprise, not a move
- S•• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Jun 25, 2018, registered Jan 29, 2010 (-3069 days) · channel change inside one enterprise, not a move · moved with a team
- W•••• F•••• I••••••••• L•• to S•• I••••••••• I•••left Jul 21, 2008, registered Jul 15, 2008 (-6 days) · Other
- P••••• E••• W••••••• left C••••• I••••••••• A••••••• L•• for G•••••• W••••• P•••••••• L•• (registered 2025-04-14)Sep 14, 2023 · a•••••• firm change · fact
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