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.
H••••• W••••
- E••••• J•••• national BD currentsince Sep 6, 2023 · Hudson, Oh
- O•••• W•••••• I••• BD affiliatedJun 7, 2021 to Mar 3, 2022 · Eau Claire, Wi
- C••••••••• W••••• A•••••••• L•• BD affiliatedJun 12, 2018 to May 3, 2021 · Eau Claire, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 18, 2012 to Feb 7, 2018 · Madison, Wi
- O•••• W•••••• I••• to E••••• J••••left Mar 3, 2022, registered Sep 6, 2023 (552 days) · Affiliated broker-dealer or bank to another
- C••••••••• W••••• A•••••••• L•• to O•••• W•••••• I•••left May 3, 2021, registered Jun 7, 2021 (35 days) · Affiliated broker-dealer or bank to another
- T••••••• I••••••••• M••••••••• I••• to C••••••••• W••••• A•••••••• L••left Feb 7, 2018, registered Jun 12, 2018 (125 days) · Other
- H••••• W•••• left O•••• W•••••• I••• for E••••• J•••• (registered 2023-09-06)Mar 3, 2022 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address