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.
B•••• P•••••• W•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 15, 2021 · Appleton, Wi
- W•••• F•••• A••••••• wirehouseMar 16, 2017 to Apr 20, 2021 · Neenah, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Mar 23, 2017 · Weyauwega, Wi
- M•• F•••••••• A•••••••• I••• formerApr 30, 2012 to Aug 1, 2012 · Appleton, Wi
- W•••• F•••• A••••••• to L•• F•••••••• L••left Apr 20, 2021, registered Apr 15, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- B•• H••••• F•••••••• A•••••••• I•• to W•••• F•••• A•••••••left Mar 23, 2017, registered Mar 16, 2017 (-7 days) · Other
- M•• F•••••••• A•••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Aug 1, 2012, registered Aug 1, 2012 (0 days) · channel change inside one enterprise, not a move
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