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.
M•••••• G••••• P•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 5, 2009 · Oakbrook Terrace, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Nov 4, 2004 · Northbrook, Il
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 24, 2003 to Oct 5, 2009 · Northbrook, Il
- Q•••• • R•••••• I••• unclassifiedAug 28, 2002 to Oct 20, 2004 · Northbrook, Il
- A••••••••• A•••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 5, 2009, registered Oct 20, 2004 (-1811 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 4, 2004, registered Oct 5, 2009 (1796 days) · Other
- Q•••• • R•••••• I••• to A••••••••• A•••••• S•••••••• I•••left Oct 20, 2004, registered Jun 24, 2003 (-484 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address