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.
B•••••• G•• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 30, 2020 · Kaukauna, Wi
- S••••••••• A•••••• A•••••••• I••• formerSep 18, 2020 to Nov 30, 2020 · Kaukauna, Wi
- S•• A•••••••• I••• formerNov 22, 2017 to Sep 18, 2020 · Kaukauna, Wi
- I••••••••• C•••••• O• A••••••• I••• formerOct 20, 2010 to May 6, 2014 · Appleton, Wi
- S•• I••••••••• I••• formerOct 20, 2010 to Nov 21, 2017 · Appleton, Wi
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Nov 30, 2020, registered Nov 30, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
- S•• I••••••••• I••• to S•• A•••••••• I•••left Nov 21, 2017, registered Nov 22, 2017 (1 days) · Other · moved with a team
- I••••••••• C•••••• O• A••••••• I••• to S•• I••••••••• I•••left May 6, 2014, registered Oct 20, 2010 (-1294 days) · channel change inside one enterprise, not a move
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address