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.
C•••••• H••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Brookfield, Wi
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 10, 2020 to Mar 31, 2025 · Brookfield, Wi
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 10, 2017 to Jul 28, 2020 · Brookfield, Wi
- T• A••••••••• I••• formerFeb 10, 2017 to Jul 28, 2020 · Brookfield, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 8, 2016 to Jan 27, 2017 · Waukesha, Wi
- E••••• J•••• national BDOct 20, 2014 to Mar 31, 2016 · St Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 28, 2020, registered Feb 10, 2017 (-1264 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 28, 2020, registered Feb 10, 2017 (-1264 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 27, 2017, registered Feb 10, 2017 (14 days) · Other
- E••••• J•••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 31, 2016, registered Jun 8, 2016 (69 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address