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.
S•••• L••• E••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jan 21, 2009 · Chicago, Il
- O•••• F•• I••• formerNov 11, 2008 to Dec 1, 2008 · Chicago, Il
- O••••••••• • C•• I••• BD affiliatedAug 25, 2005 to Oct 3, 2008 · Chicago, Il
- M••••• S•••••• D• I••• unclassifiedFeb 14, 1998 to Aug 29, 2005 · Chicago, Il
- O•••• F•• I••• to P•••••••• S••••••••• I•••left Dec 1, 2008, registered Jan 21, 2009 (51 days) · Other
- O••••••••• • C•• I••• to O•••• F•• I•••left Oct 3, 2008, registered Nov 11, 2008 (39 days) · Other
- M••••• S•••••• D• I••• to O••••••••• • C•• I•••left Aug 29, 2005, registered Aug 25, 2005 (-4 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address