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.
S•••••• W•••• W••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 10, 2026 · Waukesha, Wi
- J••• M••••• S••••••••• L•• wirehouseFeb 1, 2013 to Feb 23, 2017 · St. George, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2010 to Dec 18, 2012 · Saint George, Ut
- H• B•••• I••• formerApr 1, 2010 to Jul 29, 2010 · Elm Grove, Wi
- E••••• J•••• national BDAug 24, 2005 to Apr 9, 2010 · Waukesha, Wi
- J••• M••••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 23, 2017, registered Mar 10, 2026 (3302 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Dec 18, 2012, registered Feb 1, 2013 (45 days) · Wirehouse to wirehouse
- H• B•••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 29, 2010, registered Sep 9, 2010 (42 days) · Other
- E••••• J•••• to H• B•••• I•••left Apr 9, 2010, registered Apr 1, 2010 (-8 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address