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•••• K•••••• S•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Waunakee, Wi
- S••••••••• A•••••• A•••••••• I••• formerNov 9, 2016 to Jun 14, 2024 · Fitchburg, Wi
- C••••• A•••••• N••••••• L•• formerApr 1, 2010 to Nov 21, 2016 · Minnetonka, Mn
- A••••••• A••••••• S••••••• formerSep 21, 1999 to Apr 22, 2010 · Lincoln, Ne
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Nov 21, 2016, registered Nov 9, 2016 (-12 days) · Other · moved with a team
- A••••••• A••••••• S••••••• to C••••• A•••••• N••••••• L••left Apr 22, 2010, registered Apr 1, 2010 (-21 days) · Other
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address