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.
P•••••• L•• M•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 2, 2019 · Wheaton, Il
- L•••• A•••••••• I••• unclassifiedApr 3, 2007 to Dec 31, 2018 · Chicago, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 10, 1999 to Dec 31, 2018 · Chicago, Il
- M•• I•••••••• S•••••••• L•• to L•••• A•••••••• I•••left Dec 31, 2018, registered Apr 3, 2007 (-4290 days) · Other
- L•••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Dec 31, 2018, registered Jan 2, 2019 (2 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
- National broker-dealer RIAderived
- Years in industry
- 48derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address