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••••• R• F••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 24, 2020 · Quincy, Il
- I•• W••••• M••••••••• I••• BD affiliatedSep 18, 2017 to Jan 28, 2020 · Quincy, Il
- F•••• H•••••••• C••••••••• I••• BD affiliatedFeb 6, 2017 to Sep 19, 2017 · Quincy, Il
- I•• W••••• M••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 28, 2020, registered Jan 24, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- F•••• H•••••••• C••••••••• I••• to I•• W••••• M••••••••• I•••left Sep 19, 2017, registered Sep 18, 2017 (-1 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address