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•••• J•••••• R••••
- A••••••••• I••••••••• S•••••••• I••• independent RIA currentsince Mar 18, 2021 · Green Bay, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedFeb 12, 2018 to Mar 19, 2021 · Appleton, Wi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 11, 2009 to Sep 10, 2009 · Sturgeon Bay, Wi
- T••••••• I••••••••• M••••••••• I••• to A••••••••• I••••••••• S•••••••• I•••left Mar 19, 2021, registered Mar 18, 2021 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- U•••• F•••••••• S••••••• G••••• I••• to T••••••• I••••••••• M••••••••• I•••left Sep 10, 2009, registered Feb 12, 2018 (3077 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address