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•••••• T••••• S•••••
- F•••••••• F•••••••• P••••••• N•••••• independent RIA currentsince Apr 27, 2021 · Onalaska, Wi
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 30, 2020 to May 3, 2021 · Lacrosse, Wi
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 6, 2018 to Mar 30, 2020 · La Crosse, Wi
- V••• F•••••••• A•••••••• I••• to F•••••••• F•••••••• P••••••• N••••••left May 3, 2021, registered Apr 27, 2021 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Mar 30, 2020, registered Mar 30, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address