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.
M•••• A•• N•••••• S••••••
- E••••••••• F•••••••• P••••••• L•• state registered currentsince May 7, 2024 · Watertown, Wi
- K•••• I••••••••• G••••• L•• formerSep 30, 2020 to Feb 8, 2024 · Brookfield, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 9, 2019 to Oct 12, 2020 · Waukesha, Wi
- K•••• I••••••••• G••••• L•• to E••••••••• F•••••••• P••••••• L••left Feb 8, 2024, registered May 7, 2024 (89 days) · RIA to a state-registered adviser
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to K•••• I••••••••• G••••• L••left Oct 12, 2020, registered Sep 30, 2020 (-12 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••• A•• N•••••• S•••••• left K•••• I••••••••• G••••• L•• for E••••••••• F•••••••• P••••••• L•• (registered 2024-05-07)Feb 8, 2024 · 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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address