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••• S••••
- B••••••••• W••••• A•••••••• L•• no RAUM currentsince Aug 31, 2015 · Stevens Point, Wi
- M•••••• P••••••••• P•••••••• L••• independent RIAApr 9, 2014 to Sep 14, 2015 · Wausau, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 20, 2013 to Apr 2, 2014 · Minneapolis, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 30, 2012 to Oct 22, 2013 · Marshfield, Wi
- M•••••• P••••••••• P•••••••• L••• to B••••••••• W••••• A•••••••• L••left Sep 14, 2015, registered Aug 31, 2015 (-14 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to M•••••• P••••••••• P•••••••• L•••left Apr 2, 2014, registered Apr 9, 2014 (7 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Oct 22, 2013, registered Nov 20, 2013 (29 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
- No RAUM reportedderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address