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.
P•••••• L•••••
- O•••• W•••••• I••• BD affiliated currentsince Apr 19, 2024 · Green Bay, Wi
- L•• F•••••••• L•• BD affiliatedMar 24, 2021 to May 1, 2024 · Green Bay, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerJun 19, 2015 to Mar 24, 2021 · Green Bay, Wi
- E••••• J•••• national BDSep 20, 2012 to Jun 10, 2015 · Tempe, Az
- L•• F•••••••• L•• to O•••• W•••••• I•••left May 1, 2024, registered Apr 19, 2024 (-12 days) · Affiliated broker-dealer or bank to another
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- E••••• J•••• to B•• H••••• F•••••••• A•••••••• I••left Jun 10, 2015, registered Jun 19, 2015 (9 days) · Other
- P•••••• L••••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2024-04-19)May 1, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address