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•••••• H•••
- W•••• F•••• A••••••• wirehouse currentsince Nov 14, 2018 · Janesville, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Nov 15, 2018 · Beloit, Wi
- M•• F•••••••• A•••••••• I••• formerApr 20, 2012 to Aug 1, 2012 · Beloit, Wi
- M•• I••••••••• M••••••••• C•••• formerJun 21, 2011 to Apr 18, 2012 · Milwaukee, Wi
- U•• F•••••••• S••••••• I••• wirehouseOct 12, 2007 to Jun 6, 2011 · Madison, Wi
- B•• H••••• F•••••••• A•••••••• I•• to W•••• F•••• A•••••••left Nov 15, 2018, registered Nov 14, 2018 (-1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•• F•••••••• A•••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Aug 1, 2012, registered Aug 1, 2012 (0 days) · channel change inside one enterprise, not a move
- M•• I••••••••• M••••••••• C•••• to M•• F•••••••• A•••••••• I•••left Apr 18, 2012, registered Apr 20, 2012 (2 days) · channel change inside one enterprise, not a move
- U•• F•••••••• S••••••• I••• to M•• I••••••••• M••••••••• C••••left Jun 6, 2011, registered Jun 21, 2011 (15 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address