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•••••• J••• R•••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Jan 11, 2019 · Reno, Nv
- W•••••• • R••• formerOct 19, 2017 to Dec 10, 2018 · Waukesha, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 5, 2012 to Oct 20, 2017 · Milwaukee, Wi
- W•••••• • R••• to B•••••••• A•••• M••••••••• L••left Dec 10, 2018, registered Jan 11, 2019 (32 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to W•••••• • R•••left Oct 20, 2017, registered Oct 19, 2017 (-1 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address