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.
I•••• J•••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Madison, Wi
- C••• B•••••••• S•••••••• I••• formerSep 23, 2019 to May 18, 2022 · Madison, Wi
- A••••••••• F•••••••• S•••••••• L•• national BDSep 27, 2018 to May 16, 2019 · Madison, Wi
- C••••• A•••••• N••••••• L•• formerMay 8, 2018 to Sep 12, 2018 · Grove City, Pa
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left May 16, 2019, registered Sep 23, 2019 (130 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 12, 2018, registered Sep 27, 2018 (15 days) · Affiliated broker-dealer or bank to another
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