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••••••• M•••••• F••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Milwaukee, Wi
- C••• B•••••••• S•••••••• I••• formerJun 14, 2019 to May 18, 2022 · Kenosha, Wi
- E•••••••• A•••••••• L•• national BDJan 26, 2011 to Jun 10, 2019 · Milwaukee, Wi
- C•••• I••••••••• S••••••• C•••• formerAug 19, 2009 to Jan 3, 2011 · Butler, Wi
- M•• F•••••••• S•••••••• I••• formerApr 23, 2007 to Aug 19, 2009 · St. Louis, Mo
- M•••• C••••••• A••••••• S•••••• BD affiliatedJun 2, 2006 to Apr 25, 2007 · Wilmington, Nc
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••left Jun 10, 2019, registered Jun 14, 2019 (4 days) · Affiliated broker-dealer or bank to another
- C•••• I••••••••• S••••••• C•••• to E•••••••• A•••••••• L••left Jan 3, 2011, registered Jan 26, 2011 (23 days) · Other
- M•• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Aug 19, 2009, registered Aug 19, 2009 (0 days) · Other
- M•••• C••••••• A••••••• S•••••• to M•• F•••••••• S•••••••• I•••left Apr 25, 2007, registered Apr 23, 2007 (-2 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