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.
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- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Aug 16, 2021 · Scottsdale, Az
- P•••••••• A••••••• national BDMar 20, 2020 to Dec 31, 2020 · Wausau, Wi
- W••••••• F•••••••• S•••••••• I••• formerNov 3, 2017 to Mar 26, 2018 · Wausau, Wi
- S•• I••••••••• I••• formerOct 1, 2013 to Nov 3, 2017 · Wausau, Wi
- P•••••••• A••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Dec 31, 2020, registered Aug 16, 2021 (228 days) · Affiliated broker-dealer or bank to independent RIA
- W••••••• F•••••••• S•••••••• I••• to P•••••••• A•••••••left Mar 26, 2018, registered Mar 20, 2020 (725 days) · Affiliated broker-dealer or bank to another
- S•• I••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Nov 3, 2017, registered Nov 3, 2017 (0 days) · Other · moved with a team
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address