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.
M••• K•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 29, 2020 · Green Bay, Wi
- S••••••••• A•••••• A•••••••• I••• formerAug 12, 2019 to Oct 22, 2019 · Fond Du Lac, Wi
- K••••••••• W••••• M••••••••• L•• independent RIAJan 3, 2019 to Apr 22, 2019 · Shawano, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerOct 19, 2018 to Jan 2, 2019 · Appleton, Wi
- S••••••••• A•••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 22, 2019, registered Sep 29, 2020 (343 days) · Affiliated broker-dealer or bank to another
- K••••••••• W••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 22, 2019, registered Aug 12, 2019 (112 days) · RIA to affiliated broker-dealer or bank
- B•• H••••• F•••••••• A•••••••• I•• to K••••••••• W••••• M••••••••• L••left Jan 2, 2019, registered Jan 3, 2019 (1 days) · Affiliated broker-dealer or bank to independent RIA
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
- National broker-dealer RIAderived
- Years in industry
- 9derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address