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.
C••••••• M•••••• S•••••••••
- M••••• S•••••• wirehouse currentsince Sep 19, 2018 · Middleton, Wi
- S•• W••••• M••••••••• L•• formerDec 21, 2017 to Jan 10, 2019 · Madison, Wi
- B• C• Z•••••• A•• C•••••• formerDec 7, 2012 to Jan 28, 2015 · Middleton, Wi
- E••••• J•••• national BDMar 19, 2012 to Dec 4, 2012 · St Louis, Mo
- E••••• J•••• national BDMar 3, 2008 to Jan 3, 2011 · St Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 13, 2007 to Dec 17, 2007 · Eau Claire, Wi
- S•• W••••• M••••••••• L•• to M••••• S••••••left Jan 10, 2019, registered Sep 19, 2018 (-113 days) · RIA to wirehouse
- B• C• Z•••••• A•• C•••••• to S•• W••••• M••••••••• L••left Jan 28, 2015, registered Dec 21, 2017 (1058 days) · Other
- E••••• J•••• to B• C• Z•••••• A•• C••••••left Dec 4, 2012, registered Dec 7, 2012 (3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Dec 17, 2007, registered Mar 3, 2008 (77 days) · Wirehouse to affiliated broker-dealer or bank
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address