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.
L•••• W•••• J••••••
- A••••• F•••••••• P•••••••• I••• independent RIA currentsince Aug 1, 2019 · St. Charles, Il
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Feb 20, 2015 · Downers Grove, Il
- W••••••••• F•••••••• G••••• I••• unclassifiedJan 2, 2004 to Sep 8, 2009 · Itasca, Il
- S••••••• F•••••••• A••••••• S•••••••• I••• unclassifiedApr 12, 1998 to Jan 12, 2021 · Itasca, Il
- H••••••• C•••••• M••••••••• I•• formerFeb 26, 1998 to Dec 31, 2008 · Itasca, Il
- S••••••• P•••••••• A••••••••• S•••••• I•• unclassifiedFeb 24, 1998 to Dec 31, 2003 · Itasca, Il
- S••••••• F•••••••• A••••••• S•••••••• I••• to W••••••••• F•••••••• G••••• I•••left Jan 12, 2021, registered Jan 2, 2004 (-6220 days) · Other
- L•• F•••••••• L•• to A••••• F•••••••• P•••••••• I•••left Feb 20, 2015, registered Aug 1, 2019 (1623 days) · Other
- W••••••••• F•••••••• G••••• I••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
- H••••••• C•••••• M••••••••• I•• to S••••••• F•••••••• A••••••• S•••••••• I•••left Dec 31, 2008, registered Apr 12, 1998 (-3916 days) · Other
- S••••••• P•••••••• A••••••••• S•••••• I•• to H••••••• C•••••• M••••••••• I••left Dec 31, 2003, registered Feb 26, 1998 (-2134 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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address