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•••• G••••• H••••••
- C••••••• P••••••• independent RIA currentsince Oct 4, 2022 · De Pere, Wi
- W••••• F•••••••• A•••••••• L•• formerDec 17, 2018 to Oct 12, 2022 · Green Bay, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 31, 2014 to Dec 3, 2018 · Oshkosh, Wi
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 1, 2009 to Jul 15, 2014 · Fond Du Lac, Wi
- W••••• F•••••••• A•••••••• L•• to C••••••• P•••••••left Oct 12, 2022, registered Oct 4, 2022 (-8 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W••••• F•••••••• A•••••••• L••left Dec 3, 2018, registered Dec 17, 2018 (14 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 15, 2014, registered Jul 31, 2014 (16 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address