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.
- M••••• S•••••• wirehouse currentsince Jul 18, 2019 · Waukesha, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Jun 26, 2019 · Ripon, Wi
- M•• I••••••••• M••••••••• C•••• formerApr 29, 2010 to Apr 19, 2012 · Milwaukee, Wi
- M•• F•••••••• A•••••••• I••• formerOct 14, 2009 to Aug 1, 2012 · Ripon, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Oct 16, 2009 · Appleton, Wi
- J••• M••••• S••••••••• I••• unclassifiedDec 17, 2007 to Oct 1, 2008 · Appleton, Wi
- B•• H••••• F•••••••• A•••••••• I•• to M••••• S••••••left Jun 26, 2019, registered Jul 18, 2019 (22 days) · Affiliated broker-dealer or bank to wirehouse
- M•• F•••••••• A•••••••• I••• to M•• I••••••••• M••••••••• C••••left Aug 1, 2012, registered Apr 29, 2010 (-825 days) · corporate re-registration, not a move
- M•• I••••••••• M••••••••• C•••• to B•• H••••• F•••••••• A•••••••• I••left Apr 19, 2012, registered Aug 1, 2012 (104 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to M•• F•••••••• A•••••••• I•••left Oct 16, 2009, registered Oct 14, 2009 (-2 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address