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.
K•••• L•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 2, 2021 · Plymouth, Mn
- S•• W••••• M••••••••• L•• formerAug 7, 2018 to Jan 13, 2021 · Brookfield, Wi
- R••••• W• B•••• • C•• I••••••••• mixed wealthMar 4, 2015 to Jul 30, 2018 · Milwaukee, Wi
- S•• W••••• M••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jan 13, 2021, registered Jan 2, 2021 (-11 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R••••• W• B•••• • C•• I••••••••• to S•• W••••• M••••••••• L••left Jul 30, 2018, registered Aug 7, 2018 (8 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address