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.
B••••• A••• N•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 15, 2019 · Brookfield, Wi
- W••••••• F•••••••• S•••••••• I••• formerMar 28, 2018 to Sep 25, 2019 · West Bend, Wi
- W•••• F•••• A••••••• wirehouseJan 16, 2015 to Apr 4, 2018 · Cedarburg, Wi
- W•••• F•••• A••••••• wirehouseMay 1, 2013 to Jan 16, 2015 · San Antonio, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 10, 2012 to Apr 29, 2013 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseApr 19, 2011 to Aug 20, 2012 · Cedarburg, Wi
- W•••• F•••• A••••••• wirehouseJan 31, 2008 to Dec 22, 2010 · Waukesha, Wi
- W••••••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 25, 2019, registered Oct 15, 2019 (20 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to W••••••• F•••••••• S•••••••• I•••left Apr 4, 2018, registered Mar 28, 2018 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jan 16, 2015, registered Jan 16, 2015 (0 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Apr 29, 2013, registered May 1, 2013 (2 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Aug 20, 2012, registered Oct 10, 2012 (51 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Dec 22, 2010, registered Apr 19, 2011 (118 days) · Wirehouse to wirehouse
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address