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.
A••••• R••••••• O••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Nov 7, 2017 · Appleton, Wi
- I••••••••• C•••••• O• A••••••• I••• formerAug 15, 2014 to Nov 6, 2017 · Appleton, Wi
- S•• I••••••••• I••• formerAug 15, 2014 to Nov 6, 2017 · Appleton, Wi
- E••••••• R••••••••• I••••••••• A•••••••• L•• formerNov 7, 2011 to Jul 25, 2014 · De Pere, Wi
- I••••••••• C•••••• O• A••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Nov 6, 2017, registered Nov 7, 2017 (1 days) · Other
- S•• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Nov 6, 2017, registered Aug 15, 2014 (-1179 days) · channel change inside one enterprise, not a move · moved with a team
- E••••••• R••••••••• I••••••••• A•••••••• L•• to S•• I••••••••• I•••left Jul 25, 2014, registered Aug 15, 2014 (21 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address