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.
W•••••• S•••••• T•••••
- C••••••• P••••••• independent RIA currentsince Jul 16, 2026 · Menomonee Falls, Wi
- W•••• F•••• A••••••• wirehouseJul 31, 2025 to Jul 2, 2026 · West Bend, Wi
- W•••• F•••• A••••••• wirehouseJun 3, 2025 to Jul 31, 2025 · Waukesha, Wi
- P•••••••• A•••••• S••••••• BD affiliatedOct 30, 2022 to Jun 2, 2025 · Wauwatosa, Wi
- P•••••••• S••••••••• I••• BD affiliatedOct 10, 2017 to Oct 30, 2022 · Wauwatosa, Wi
- I••••• F•••••••• C••••••••• formerJan 3, 2017 to Aug 29, 2017 · Wauwatosa, Wi
- L•• F•••••••• L•• BD affiliatedSep 27, 2013 to Dec 31, 2016 · Jefferson, Wi
- S•• I••••••••• I••• formerJul 10, 2012 to Sep 17, 2013 · Brookfield, Wi
- A•••••••• F•••• M••••••••• L•• asset managerJan 6, 2009 to Apr 10, 2012 · Menomonee Falls, Wi
- W•••• F•••• A••••••• to C••••••• P•••••••left Jul 2, 2026, registered Jul 16, 2026 (14 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jul 31, 2025, registered Jul 31, 2025 (0 days) · channel change inside one enterprise, not a move · moved with a team
- P•••••••• A•••••• S••••••• to W•••• F•••• A•••••••left Jun 2, 2025, registered Jun 3, 2025 (1 days) · Affiliated broker-dealer or bank to wirehouse
- P•••••••• S••••••••• I••• to P•••••••• A•••••• S•••••••left Oct 30, 2022, registered Oct 30, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- I••••• F•••••••• C••••••••• to P•••••••• S••••••••• I•••left Aug 29, 2017, registered Oct 10, 2017 (42 days) · Other
- L•• F•••••••• L•• to I••••• F•••••••• C•••••••••left Dec 31, 2016, registered Jan 3, 2017 (3 days) · Other · moved with a team
- S•• I••••••••• I••• to L•• F•••••••• L••left Sep 17, 2013, registered Sep 27, 2013 (10 days) · Other
- A•••••••• F•••• M••••••••• L•• to S•• I••••••••• I•••left Apr 10, 2012, registered Jul 10, 2012 (91 days) · Other
- W•••••• S•••••• T••••• left W•••• F•••• A••••••• for C••••••• P••••••• (registered 2026-07-16)Jul 2, 2026 · Advisor changed firm · fact
- W•••••• S•••••• T••••• left P•••••••• A•••••• S••••••• for W•••• F•••• A••••••• (registered 2025-06-03)Jun 2, 2025 · Advisor changed firm · fact
- W•••••• S•••••• T••••• left P•••••••• S••••••••• I••• for P•••••••• A•••••• S••••••• (registered 2022-10-30)Oct 30, 2022 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address