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.
D••• M•••• S••••••••
- P••••••••• B•••••••• S•••••••• I••• independent RIA currentsince Feb 6, 2018 · Green Bay, Wi
- A••••••••• I••••••••• S•••••••• I••• independent RIAOct 4, 2013 to Oct 25, 2017 · Green Bay, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 17, 2013 · Green Bay, Wi
- C•••• I••••••••• S••••••• C•••• formerJun 16, 2011 to Oct 1, 2012 · Green Bay, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 25, 2010 to Apr 25, 2011 · Green Bay, Wi
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 19, 2010 · Greenbay, Wi
- M••••• S•••••• • C•• L•• unclassifiedMay 28, 2009 to Jun 1, 2009 · Greenbay, Wi
- A••••••••• I••••••••• S•••••••• I••• to P••••••••• B•••••••• S•••••••• I•••left Oct 25, 2017, registered Feb 6, 2018 (104 days) · Other
- J••• M••••• S••••••••• L•• to A••••••••• I••••••••• S•••••••• I•••left May 17, 2013, registered Oct 4, 2013 (140 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••• I••••••••• S••••••• C••••left Apr 25, 2011, registered Jun 16, 2011 (52 days) · Other
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 19, 2010, registered Aug 25, 2010 (37 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address