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•••• national BD currentsince Oct 16, 2023 · Suamico, Wi
- A••••••••• I••••••••• S•••••••• I••• independent RIAJun 8, 2022 to Oct 4, 2023 · De Pere, Wi
- M•••••• P••••••••• P•••••••• L••• independent RIAMar 21, 2022 to May 27, 2022 · Wausau, Wi
- A••••••••• I••••••••• S•••••••• I••• to E••••• J••••left Oct 4, 2023, registered Oct 16, 2023 (12 days) · RIA to affiliated broker-dealer or bank
- M•••••• P••••••••• P•••••••• L••• to A••••••••• I••••••••• S•••••••• I•••left May 27, 2022, registered Jun 8, 2022 (12 days) · RIA to RIA
- T••••• J••• Z•••••• left A••••••••• I••••••••• S•••••••• I••• for E••••• J•••• (registered 2023-10-16)Oct 4, 2023 · Advisor changed firm · fact
- T••••• J••• Z•••••• left M•••••• P••••••••• P•••••••• L••• for A••••••••• I••••••••• S•••••••• I••• (registered 2022-06-08)May 27, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address