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••••• M•••••• S••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 9, 2026 · Brookfield, Wi
- E••••• J•••• national BDJan 5, 2024 to Nov 25, 2024 · Waukesha, Wi
- C••••••••• F•••••••• N•••••• national BDApr 12, 2021 to Nov 8, 2023 · Brookfield, Wi
- E••••• J•••• to C••••••••• F•••••••• N••••••left Nov 25, 2024, registered Feb 9, 2026 (441 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to E••••• J••••left Nov 8, 2023, registered Jan 5, 2024 (58 days) · Affiliated broker-dealer or bank to another
- D••••• M•••••• S•••••• left E••••• J•••• for C••••••••• F•••••••• N•••••• (registered 2026-02-09)Nov 25, 2024 · Advisor changed firm · fact
- D••••• M•••••• S•••••• left C••••••••• F•••••••• N•••••• for E••••• J•••• (registered 2024-01-05)Nov 8, 2023 · 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
- 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