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.
L••••• A•• E•••••••••
- H•••••• I••••••••• I••• independent RIA currentsince Nov 2, 2018 · Madison, Wi
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedJan 10, 2018 to Nov 19, 2018 · Madison, Wi
- H• B•••• I••• formerAug 4, 2016 to Dec 31, 2017 · Madison, Wi
- I•••••••• C•••••• A••••••• formerSep 1, 2015 to Aug 5, 2016 · Madison, Wi
- S•• BD affiliatedMar 26, 2015 to Sep 1, 2015 · Madison, Wi
- B•• P•••••••• I••• BD affiliatedDec 10, 2013 to Mar 26, 2015 · Middleton, Wi
- W•••••• • R••• formerNov 9, 2012 to Dec 12, 2013 · Madison, Wi
- I••••••••• A••••• I••••••••• M••••••••• L•• to H•••••• I••••••••• I•••left Nov 19, 2018, registered Nov 2, 2018 (-17 days) · Affiliated broker-dealer or bank to independent RIA
- H• B•••• I••• to I••••••••• A••••• I••••••••• M••••••••• L••left Dec 31, 2017, registered Jan 10, 2018 (10 days) · Other
- I•••••••• C•••••• A••••••• to H• B•••• I•••left Aug 5, 2016, registered Aug 4, 2016 (-1 days) · Other
- S•• to I•••••••• C•••••• A•••••••left Sep 1, 2015, registered Sep 1, 2015 (0 days) · Other
- B•• P•••••••• I••• to S••left Mar 26, 2015, registered Mar 26, 2015 (0 days) · Other
- W•••••• • R••• to B•• P•••••••• I•••left Dec 12, 2013, registered Dec 10, 2013 (-2 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address