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.
S•••• M•••• D••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 29, 2017 · Jacksonville, Or
- M•••••• P••••••••• P•••••••• L••• independent RIAJul 22, 2016 to Jun 27, 2017 · Wausau, Wi
- U•• F•••••••• S••••••• I••• wirehouseAug 20, 2007 to May 21, 2014 · Brookfield, Wi
- M•••••• P••••••••• P•••••••• L••• to J••• M••••• S••••••••• L••left Jun 27, 2017, registered Jun 29, 2017 (2 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• P••••••••• P•••••••• L•••left May 21, 2014, registered Jul 22, 2016 (793 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address