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••••••• L•• P••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Warrenville, Il
- W••••••• F•••••••• S•••••••• I••• formerOct 25, 2010 to Jan 19, 2024 · Lisle, Il
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 4, 2007 to Oct 25, 2010 · Peoria, Il
- A••••••••• F•••••••• S•••••••• L•• national BDJul 19, 2004 to Oct 4, 2006 · Lombard, Il
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Oct 25, 2010, registered Oct 25, 2010 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Oct 4, 2006, registered Jan 4, 2007 (92 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address