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•••••• B•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Madison, Wi
- C•• S••••••••• L•• formerSep 1, 2017 to Oct 21, 2021 · Madison, Wi
- S••••••• F•••••••• S•••••••• I••• formerSep 1, 2017 to Aug 10, 2023 · Madison, Wi
- C••• B•••••••• S•••••••• I••• formerApr 1, 2014 to Aug 2, 2017 · Madison, Wi
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 24, 2014 to Mar 24, 2014 · Middleton, Wi
- C•• S••••••••• L•• formerOct 21, 2011 to Feb 11, 2014 · Madison, Wi
- S••••••• F•••••••• S•••••••• I••• formerOct 20, 2011 to Feb 11, 2014 · Madison, Wi
- E••••• J•••• national BDSep 5, 2008 to Mar 5, 2009 · St Louis, Mo
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Oct 21, 2021, registered Sep 1, 2017 (-1511 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to C•• S••••••••• L••left Aug 2, 2017, registered Sep 1, 2017 (30 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left Mar 24, 2014, registered Apr 1, 2014 (8 days) · Other
- C•• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 11, 2014, registered Feb 24, 2014 (13 days) · Other
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Feb 11, 2014, registered Oct 21, 2011 (-844 days) · channel change inside one enterprise, not a move
- E••••• J•••• to S••••••• F•••••••• S•••••••• I•••left Mar 5, 2009, registered Oct 20, 2011 (959 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