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.
D•••••• M•••••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 14, 2022 · Sun Prairie, Wi
- U••• B•••••• I••••••••• I••• formerApr 11, 2018 to Jul 19, 2022 · Madison, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedNov 16, 2015 to Mar 9, 2018 · Madison, Wi
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Jul 19, 2022, registered Jul 14, 2022 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- T••••••• I••••••••• M••••••••• I••• to U••• B•••••• I••••••••• I•••left Mar 9, 2018, registered Apr 11, 2018 (33 days) · Other
- D•••••• M•••••• M•••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-07-14)Jul 19, 2022 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address