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.
J••• W•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 28, 2013 · Franklin, Wi
- A••••••••• I••••••••• S•••••••• I••• independent RIAFeb 24, 2012 to Jun 10, 2013 · West Allis, Wi
- M••••• S•••••• wirehouseAug 16, 2010 to Sep 2, 2011 · Waukesha, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 12, 2010 to Aug 4, 2010 · Chicago, Il
- A••••••••• I••••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Jun 10, 2013, registered May 28, 2013 (-13 days) · Other
- M••••• S•••••• to A••••••••• I••••••••• S•••••••• I•••left Sep 2, 2011, registered Feb 24, 2012 (175 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Aug 4, 2010, registered Aug 16, 2010 (12 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address