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.
C••••••••• L• W•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 25, 2023 · Chicago, Il
- O•• R•••• I••••••••• L•• independent RIAJul 27, 2012 to Oct 3, 2014 · Chicago, Il
- B••••••• C•••••• I••• formerJun 28, 2010 to Jul 12, 2012 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerMar 14, 2007 to Jul 16, 2010 · Northbrook, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 28, 2003 to Mar 2, 2007 · Chicago, Il
- M••••• S•••••• D• I••• unclassifiedJul 6, 2001 to Aug 26, 2003 · Burnsville, Mn
- O•• R•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 3, 2014, registered Sep 25, 2023 (3279 days) · Other
- B••••••• C•••••• I••• to O•• R•••• I••••••••• L••left Jul 12, 2012, registered Jul 27, 2012 (15 days) · Other
- C••••• S••••• S••••••••• •••• L•• to B••••••• C•••••• I•••left Jul 16, 2010, registered Jun 28, 2010 (-18 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••• S••••• S••••••••• •••• L••left Mar 2, 2007, registered Mar 14, 2007 (12 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 26, 2003, registered Aug 28, 2003 (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
- Wirehousederived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address