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.
S•••• M••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Brookfield, Wi
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 6, 2021 to Mar 31, 2025 · Brookfield, Wi
- O•••••• C••••••• I•• independent RIAJan 23, 2018 to Oct 21, 2020 · Milwaukee, Wi
- E••••• J•••• national BDSep 29, 2015 to Jul 10, 2017 · Tempe, Az
- 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
- O•••••• C••••••• I•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 21, 2020, registered Jan 6, 2021 (77 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to O•••••• C••••••• I••left Jul 10, 2017, registered Jan 23, 2018 (197 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address