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.
T•••• A••••• P•••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Mar 20, 2014 · Chicago, Il
- M•• F•••••••• S•••••••• I••• formerJul 31, 2012 to Nov 20, 2012 · Oak Brook, Il
- C••••• I••••••••• S••••••• L•• formerNov 29, 2011 to Mar 23, 2012 · Wheeling, Il
- V•••••••• F••••••••• L•• formerJan 5, 2009 to Dec 2, 2009 · Lisle, Il
- W•••••• • R••• formerDec 5, 2005 to Jan 5, 2009 · Oakbrook, Il
- M•• F•••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Nov 20, 2012, registered Mar 20, 2014 (485 days) · Other
- C••••• I••••••••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Mar 23, 2012, registered Jul 31, 2012 (130 days) · Other
- V•••••••• F••••••••• L•• to C••••• I••••••••• S••••••• L••left Dec 2, 2009, registered Nov 29, 2011 (727 days) · Other
- W•••••• • R••• to V•••••••• F••••••••• L••left Jan 5, 2009, registered Jan 5, 2009 (0 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address