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.
- E••••• J•••• national BD currentsince Aug 16, 2024 · Green Bay, Wi
- L•• F•••••••• L•• BD affiliatedAug 30, 2023 to Feb 12, 2024 · De Pere, Wi
- S•••••••• F••••••••• I••• formerSep 16, 2019 to Sep 2, 2023 · Depere, Wi
- L•• F•••••••• L•• to E••••• J••••left Feb 12, 2024, registered Aug 16, 2024 (186 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Sep 2, 2023, registered Aug 30, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- C••••••• C••• left L•• F•••••••• L•• for E••••• J•••• (registered 2024-08-16)Feb 12, 2024 · Advisor changed firm · fact
- C••••••• C••• left S•••••••• F••••••••• I••• for L•• F•••••••• L•• (registered 2023-08-30)Sep 2, 2023 · 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