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.
Y••••• R•••• F•••••
- T••••••• I••••••••• M••••••••• institutional currentsince Apr 25, 2023 · Madison, Wi
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Apr 25, 2023 · Monona, Wi
- C••• B•••••••• S•••••••• I••• formerOct 4, 2017 to May 18, 2022 · Madison, Wi
- P•• W••••• M••••••••• BD affiliatedFeb 11, 2016 to Mar 28, 2017 · Wilmington, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDJul 15, 2014 to Jun 30, 2015 · Middleton, Wi
- W•••• F•••• A••••••• wirehouseOct 15, 2013 to Jul 14, 2014 · Greenville, Sc
- L•• F•••••••• L•• to T••••••• I••••••••• M•••••••••left Apr 25, 2023, registered Apr 25, 2023 (0 days) · Other
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to C••• B•••••••• S•••••••• I•••left Mar 28, 2017, registered Oct 4, 2017 (190 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Jun 30, 2015, registered Feb 11, 2016 (226 days) · Other
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 14, 2014, registered Jul 15, 2014 (1 days) · Wirehouse to affiliated broker-dealer or bank
- Y••••• R•••• F••••• left L•• F•••••••• L•• for T••••••• I••••••••• M••••••••• (registered 2023-04-25)Apr 25, 2023 · 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
- Institutional managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address