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.
D•••• J•••• L••••••••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 28, 2020 · Appleton, Wi
- O•••••• C••••••• I•• independent RIAFeb 3, 2020 to Dec 31, 2020 · Appleton, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedSep 4, 2019 to Jan 24, 2020 · Appleton, Wi
- O•••••• C••••••• I•• to O•••• A••••••• S•••••••• L••left Dec 31, 2020, registered Sep 28, 2020 (-94 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T••••••• I••••••••• M••••••••• I••• to O•••••• C••••••• I••left Jan 24, 2020, registered Feb 3, 2020 (10 days) · Affiliated broker-dealer or bank to independent RIA
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address