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.
L•••••• A••• K•••••••
- G•••••• W••••• P•••••••• L•• independent RIA currentsince Jun 14, 2024 · Appleton, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 4, 2021 to Jun 18, 2024 · Green Bay, Wi
- R•• C•••••• M••••••• L•• national BDJan 9, 2017 to Nov 18, 2021 · Appleton, Wi
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 3, 2016 to Dec 27, 2016 · Appleton, Wi
- I••••••••• C•••••• O• A••••••• I••• formerJul 6, 2015 to Dec 27, 2016 · Appleton, Wi
- S•• I••••••••• I••• formerJul 1, 2015 to Dec 27, 2016 · Appleton, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G•••••• W••••• P•••••••• L••left Jun 18, 2024, registered Jun 14, 2024 (-4 days) · Wirehouse to independent RIA
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 18, 2021, registered Nov 4, 2021 (-14 days) · Affiliated broker-dealer or bank to wirehouse
- I••••••••• C•••••• O• A••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 27, 2016, registered Mar 3, 2016 (-299 days) · Other
- S•• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Dec 27, 2016, registered Jul 6, 2015 (-540 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to R•• C•••••• M••••••• L••left Dec 27, 2016, registered Jan 9, 2017 (13 days) · Other
- L•••••• A••• K••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for G•••••• W••••• P•••••••• L•• (registered 2024-06-14)Jun 18, 2024 · 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