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.
K•••• L••••• H••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Sheboygan, Wi
- I••••• F•••••••• C••••••••• formerNov 3, 2017 to Feb 20, 2018 · Appleton, Wi
- U••• B•••••• I••••••••• I••• formerDec 9, 2013 to Nov 17, 2017 · Manitowoc, Wi
- E••••• J•••• national BDNov 15, 2010 to Dec 10, 2013 · Oostburg, Wi
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 20, 2018, registered Feb 14, 2018 (-6 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to I••••• F•••••••• C•••••••••left Nov 17, 2017, registered Nov 3, 2017 (-14 days) · Other
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Dec 10, 2013, registered Dec 9, 2013 (-1 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address