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.
V•••••• M•••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Milwaukee, Wi
- U••• B•••••• I••••••••• I••• formerJun 13, 2022 to Feb 13, 2026 · Waukesha, Wi
- C•••••• S••••• • C••• I••• national BDJan 21, 2009 to Sep 27, 2018 · Milwaukee, Wi
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to U••• B•••••• I••••••••• I•••left Sep 27, 2018, registered Jun 13, 2022 (1355 days) · Affiliated broker-dealer or bank to another
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