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.
E••• J••• L••••••
- E••••• J•••• national BD currentsince Apr 11, 2025 · Fond Du Lac, Wi
- C••••••••• W••••• A•••••••• L•• BD affiliatedAug 25, 2022 to Mar 25, 2025 · Minneapolis, Mn
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 1, 2021 to Aug 18, 2022 · Ripon, Wi
- C••••••••• W••••• A•••••••• L•• to E••••• J••••left Mar 25, 2025, registered Apr 11, 2025 (17 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to C••••••••• W••••• A•••••••• L••left Aug 18, 2022, registered Aug 25, 2022 (7 days) · Affiliated broker-dealer or bank to another
- E••• J••• L•••••• left C••••••••• W••••• A•••••••• L•• for E••••• J•••• (registered 2025-04-11)Mar 25, 2025 · Advisor changed firm · fact
- E••• J••• L•••••• left C••••• I••••••••• A••••••• L•• for C••••••••• W••••• A•••••••• L•• (registered 2022-08-25)Aug 18, 2022 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address