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.
M•••••• T• N•••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Jan 1, 2025 · Middleton, Wi
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 21, 2020 to May 20, 2021 · Middleton, Wi
- S••••••• F•••••••• S•••••••• I••• formerAug 9, 2013 to Mar 5, 2020 · Madison, Wi
- C•• S••••••••• L•• formerAug 9, 2013 to Mar 5, 2020 · Madison, Wi
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 4, 2010 to Jun 17, 2013 · Des Plaines, Il
- C••••• A•••••• N••••••• L•• formerApr 30, 2008 to Dec 31, 2009 · Des Plaines, Il
- C•••••••• I••••••••• R••••••• A•••••••• I••• to I••••••••• F•••••••• G••••• L••left May 20, 2021, registered Jan 1, 2025 (1322 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Mar 5, 2020, registered Aug 9, 2013 (-2400 days) · channel change inside one enterprise, not a move
- C•• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 5, 2020, registered Sep 21, 2020 (200 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Jun 17, 2013, registered Aug 9, 2013 (53 days) · Other
- C••••• A•••••• N••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2009, registered Jan 4, 2010 (4 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address