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•••• P•••••
- A••••••••• I••••••••• S•••••••• I••• independent RIA currentsince Jun 5, 2023 · New London, Wi
- H•••••• T••••••• • K•••• L•• independent RIANov 10, 2020 to May 30, 2023 · Oshkosh, Wi
- O••••••••• S••••••••• I••• BD affiliatedJan 31, 2019 to Oct 21, 2020 · Appleton, Wi
- M•• F•••••••• S•••••••• I••• BD affiliatedSep 5, 2017 to Jan 31, 2019 · Appleton, Wi
- C••••••••• F•••••••• A•••••••• L•• independent RIAJul 20, 2015 to Aug 3, 2017 · Appleton, Wi
- C••• F•••••••• S•••••••• L••• formerDec 10, 2014 to Jul 10, 2015 · Appleton, Wi
- C••• B•••••••• S•••••••• I••• formerJun 13, 2012 to Dec 10, 2014 · Appleton, Wi
- H•••••• T••••••• • K•••• L•• to A••••••••• I••••••••• S•••••••• I•••left May 30, 2023, registered Jun 5, 2023 (6 days) · Affiliated broker-dealer or bank to independent RIA
- O••••••••• S••••••••• I••• to H•••••• T••••••• • K•••• L••left Oct 21, 2020, registered Nov 10, 2020 (20 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to O••••••••• S••••••••• I•••left Jan 31, 2019, registered Jan 31, 2019 (0 days) · RIA to affiliated broker-dealer or bank
- C••••••••• F•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Aug 3, 2017, registered Sep 5, 2017 (33 days) · Other
- C••• F•••••••• S•••••••• L••• to C••••••••• F•••••••• A•••••••• L••left Jul 10, 2015, registered Jul 20, 2015 (10 days) · Other
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Dec 10, 2014, registered Dec 10, 2014 (0 days) · Other
- R••••• D•••• P••••• left H•••••• T••••••• • K•••• L•• for A••••••••• I••••••••• S•••••••• I••• (registered 2023-06-05)May 30, 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