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.
A••••• J••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Wauwatosa, Wi
- P•••• S••••••••• L•• no RAUMMay 1, 2017 to Nov 14, 2024 · Wauwatosa, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerSep 13, 2012 to Feb 27, 2017 · West Allis, Wi
- T•• S•••••••• F•••••••• A••••••• BD affiliatedFeb 13, 2012 to May 3, 2012 · Waukesha, Wi
- M•• F•••••••• S•••••••• I••• formerMay 21, 2010 to Jul 25, 2011 · Milwaukee, Wi
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- B•• H••••• F•••••••• A•••••••• I•• to P•••• S••••••••• L••left Feb 27, 2017, registered May 1, 2017 (63 days) · Other
- T•• S•••••••• F•••••••• A••••••• to B•• H••••• F•••••••• A•••••••• I••left May 3, 2012, registered Sep 13, 2012 (133 days) · Other
- M•• F•••••••• S•••••••• I••• to T•• S•••••••• F•••••••• A•••••••left Jul 25, 2011, registered Feb 13, 2012 (203 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address