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.
R••••• D••••• A•••••
- G•••••• W••••• P•••••••• L•• independent RIA currentsince Jan 30, 2026 · Appleton, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 10, 2019 to Apr 10, 2023 · Green Bay, Wi
- J••• M••••• S••••••••• L•• wirehouseApr 9, 2015 to Jul 17, 2019 · Novato, Ca
- W•••• F•••• A••••••• wirehouseJun 2, 2014 to Apr 8, 2015 · Santa Rosa, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 9, 2014 · Novato, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 20, 2012 to Oct 1, 2012 · Novato, Ca
- C•••••• S••••• • C••• I••• national BDNov 21, 2008 to Jun 1, 2012 · Santa Rosa, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G•••••• W••••• P•••••••• L••left Apr 10, 2023, registered Jan 30, 2026 (1026 days) · Wirehouse to independent RIA
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 17, 2019, registered Jul 10, 2019 (-7 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Apr 8, 2015, registered Apr 9, 2015 (1 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 9, 2014, registered Jun 2, 2014 (-7 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to C•••• I••••••••• S••••••• C••••left Jun 1, 2012, registered Jun 20, 2012 (19 days) · Other
- R••••• D••••• A••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for G•••••• W••••• P•••••••• L•• (registered 2026-01-30)Apr 10, 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address