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.
T••••••• L•• J••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 24, 2023 · Waukesha, Wi
- E•••••• A••••••• G••••• L•• BD affiliatedMay 27, 2021 to Jul 19, 2023 · Milwaukee, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 12, 2015 to Jun 18, 2019 · Milwaukee, Wi
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 11, 2013 to Jan 7, 2015 · Brookfield, Wi
- T• A••••••••• I••• formerJun 11, 2013 to Jan 7, 2015 · Brookfield, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 16, 2011 to Dec 14, 2012 · Waukesha, Wi
- E••••• J•••• national BDMay 27, 2009 to Oct 18, 2011 · St Louis, Mo
- E•••••• A••••••• G••••• L•• to L•• F•••••••• L••left Jul 19, 2023, registered Oct 24, 2023 (97 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Jun 18, 2019, registered May 27, 2021 (709 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 7, 2015, registered Jun 11, 2013 (-575 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to J••• M••••• S••••••••• L••left Jan 7, 2015, registered Oct 12, 2015 (278 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 14, 2012, registered Jun 11, 2013 (179 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 18, 2011, registered Nov 16, 2011 (29 days) · Affiliated broker-dealer or bank to wirehouse
- T••••••• L•• J•••••• left E•••••• A••••••• G••••• L•• for L•• F•••••••• L•• (registered 2023-10-24)Jul 19, 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
- 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