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.
J••••• P•••••• G••••
- A••••••••• I••••••••• S•••••••• I••• independent RIA currentsince May 8, 2017 · Appleton, Wi
- I••••••••• C•••••• O• A••••••• I••• formerSep 5, 2012 to Feb 23, 2017 · Appleton, Wi
- S•• I••••••••• I••• formerSep 5, 2012 to Feb 23, 2017 · Appleton, Wi
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 5, 2012 to Feb 23, 2017 · Los Angeles, Ca
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMar 28, 2007 to May 31, 2012 · Appleton, Wi
- I••••••••• C•••••• O• A••••••• I••• to S•• I••••••••• I•••left Feb 23, 2017, registered Sep 5, 2012 (-1632 days) · channel change inside one enterprise, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to I••••••••• C•••••• O• A••••••• I•••left Feb 23, 2017, registered Sep 5, 2012 (-1632 days) · channel change inside one enterprise, not a move
- S•• I••••••••• I••• to A••••••••• I••••••••• S•••••••• I•••left Feb 23, 2017, registered May 8, 2017 (74 days) · Other
- T••••••• I••••••••• M••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left May 31, 2012, registered Sep 5, 2012 (97 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address