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.
G•• J•••• A••••••
- W•••• E••••• G••••• I••• BD affiliated currentsince Oct 2, 2012 · Schaumburg, Il
- P•••••••• D••••••••• I••••••••• S••••••• C•••• formerMay 2, 2011 to Jul 20, 2012 · Coral Springs, Fl
- C••••••••• C•••••• A••••••• formerNov 10, 2010 to May 2, 2011 · Chicago, Il
- B••••• I••••••••• A••••••• L•• unclassifiedJan 2, 2009 to Nov 5, 2010 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseJun 30, 2006 to Jan 20, 2009 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 20, 1984 to Jul 5, 2006 · Coral Springs, Fl
- P•••••••• D••••••••• I••••••••• S••••••• C•••• to W•••• E••••• G••••• I•••left Jul 20, 2012, registered Oct 2, 2012 (74 days) · Other
- C••••••••• C•••••• A••••••• to P•••••••• D••••••••• I••••••••• S••••••• C••••left May 2, 2011, registered May 2, 2011 (0 days) · Other
- B••••• I••••••••• A••••••• L•• to C••••••••• C•••••• A•••••••left Nov 5, 2010, registered Nov 10, 2010 (5 days) · Other
- U•• F•••••••• S••••••• I••• to B••••• I••••••••• A••••••• L••left Jan 20, 2009, registered Jan 2, 2009 (-18 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jul 5, 2006, registered Jun 30, 2006 (-5 days) · Wirehouse to wirehouse
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address