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.
Z•••••• P••••• M••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Madison, Wi
- M•• F•••••••• S•••••••• I••• formerJul 25, 2014 to Mar 25, 2017 · Middleton, Wi
- L•• F•••••••• L•• BD affiliatedNov 15, 2013 to Jul 25, 2014 · Madison, Wi
- A••••••••• I••••••••• S•••••••• I••• independent RIAApr 11, 2011 to Nov 4, 2013 · Madison, Wi
- W•••••• • R••• formerJan 19, 2010 to Oct 14, 2010 · Rochester, Mn
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 25, 2014, registered Jul 25, 2014 (0 days) · Other
- A••••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 4, 2013, registered Nov 15, 2013 (11 days) · Other
- W•••••• • R••• to A••••••••• I••••••••• S•••••••• I•••left Oct 14, 2010, registered Apr 11, 2011 (179 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
- 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