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.
S••••• M••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 16, 2026 · Middleton, Wi
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Jan 23, 2026 · Stoughton, Wi
- C••• B•••••••• S•••••••• I••• formerFeb 24, 2012 to May 18, 2022 · Waverly, Ia
- M••••• S•••••• wirehouseApr 29, 2011 to Feb 8, 2012 · Madison, Wi
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jan 23, 2026, registered Jan 16, 2026 (-7 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C••• B•••••••• S•••••••• I•••left Feb 8, 2012, registered Feb 24, 2012 (16 days) · Other
- S••••• M•••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-01-16)Jan 23, 2026 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address