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•••••••• M•••• W•••
- C•••••• A•••• M••••••••• L•• independent RIA currentsince Feb 19, 2021 · Chicago, Il
- R•• C•••••• M••••••• L•• national BDDec 15, 2020 to Feb 16, 2021 · Buffalo Grove, Il
- C•••••• L•• independent RIAFeb 7, 2007 to Jun 22, 2020 · Schaumburg, Il
- R•• C•••••• M••••••• L•• to C•••••• A•••• M••••••••• L••left Feb 16, 2021, registered Feb 19, 2021 (3 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• L•• to R•• C•••••• M••••••• L••left Jun 22, 2020, registered Dec 15, 2020 (176 days) · RIA to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address