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.
C••••• J••••• B••••
- D•••• • A••••••••• L•• independent RIA currentsince Oct 10, 2024 · Waukesha, Wi
- L•• F•••••••• L•• BD affiliatedMar 18, 2024 to Oct 2, 2024 · West Bend, Wi
- V••••••• A•••••••• I••• BD affiliatedAug 21, 2023 to Apr 1, 2024 · Charlotte, Nc
- L•• F•••••••• L•• to D•••• • A••••••••• L••left Oct 2, 2024, registered Oct 10, 2024 (8 days) · Affiliated broker-dealer or bank to independent RIA
- V••••••• A•••••••• I••• to L•• F•••••••• L••left Apr 1, 2024, registered Mar 18, 2024 (-14 days) · Affiliated broker-dealer or bank to another
- C••••• J••••• B•••• left L•• F•••••••• L•• for D•••• • A••••••••• L•• (registered 2024-10-10)Oct 2, 2024 · Advisor changed firm · fact
- C••••• J••••• B•••• left V••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-03-18)Apr 1, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address