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.
D•••• T••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 1, 2019 · Green Bay, Wi
- S••••• P••••••• G•••• L•• formerJun 3, 2014 to Apr 5, 2019 · Green Bay, Wi
- L•• F•••••••• L•• BD affiliatedFeb 21, 2014 to Dec 31, 2014 · Green Bay, Wi
- S••••• P••••••• G•••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Apr 5, 2019, registered Apr 1, 2019 (-4 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to S••••• P••••••• G•••• L••left Dec 31, 2014, registered Jun 3, 2014 (-211 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