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.
C••••••••• L•• F•••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 24, 2021 · Marshfield, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerApr 17, 2017 to Mar 24, 2021 · Marshfield, Wi
- W•••• F•••• A••••••• wirehouseApr 15, 2015 to Apr 12, 2017 · Minneapolis, Mn
- W••••• C••••••• I••• formerJul 19, 2013 to Dec 4, 2013 · Wausau, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 18, 2006 to Apr 4, 2011 · Marshfield, Wi
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B•• H••••• F•••••••• A•••••••• I••left Apr 12, 2017, registered Apr 17, 2017 (5 days) · Other
- W••••• C••••••• I••• to W•••• F•••• A•••••••left Dec 4, 2013, registered Apr 15, 2015 (497 days) · RIA to wirehouse
- T••••••• I••••••••• M••••••••• I••• to W••••• C••••••• I•••left Apr 4, 2011, registered Jul 19, 2013 (837 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address