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.
D•••• A••••• L•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Windsor, Wi
- W••••••• F•••••••• S•••••••• I••• formerJan 5, 2021 to Jan 19, 2024 · Windsor, Wi
- I•• W••••• M••••••••• L•• BD affiliatedApr 1, 2020 to Dec 31, 2020 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedNov 4, 2014 to Mar 27, 2020 · Appleton, Wi
- S•• I••••••••• I••• formerJan 12, 2011 to Oct 31, 2014 · Appleton, Wi
- I••••••••• C•••••• O• A••••••• I••• formerJan 12, 2011 to Oct 31, 2014 · Appleton, Wi
- E••••• J•••• national BDSep 8, 2009 to Nov 26, 2010 · Belleville, Wi
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- I•• W••••• M••••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Dec 31, 2020, registered Jan 5, 2021 (5 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to I•• W••••• M••••••••• L••left Mar 27, 2020, registered Apr 1, 2020 (5 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Oct 31, 2014, registered Nov 4, 2014 (4 days) · Other
- S•• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Oct 31, 2014, registered Jan 12, 2011 (-1388 days) · channel change inside one enterprise, not a move
- E••••• J•••• to S•• I••••••••• I•••left Nov 26, 2010, registered Jan 12, 2011 (47 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address