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.
J••• D••••• M••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Little Chute, Wi
- P•••• S••••••••• L•• no RAUMJan 17, 2019 to Nov 14, 2024 · Appleton, Wi
- P••••••••• B•••••••• S•••••••• I••• independent RIAMar 21, 2016 to Jan 9, 2019 · Green Bay, Wi
- E••••• J•••• national BDMay 20, 2013 to Mar 21, 2016 · St Louis, Mo
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- P••••••••• B•••••••• S•••••••• I••• to P•••• S••••••••• L••left Jan 9, 2019, registered Jan 17, 2019 (8 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to P••••••••• B•••••••• S•••••••• I•••left Mar 21, 2016, registered Mar 21, 2016 (0 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address