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••• J••••• D••••
- C•••••• S••••• C•••••• L•• independent RIA currentsince Jan 17, 2013 · Downers Grove, Il
- M••• J• D•••• A••••••• L•• unclassifiedNov 22, 2011 to Dec 31, 2012 · Western Springs, Il
- W••••••• • C• formerSep 19, 2006 to Sep 15, 2011 · Oak Brook, Il
- E•••••• F•••••••• S••••••• unclassifiedFeb 4, 2005 to Dec 31, 2005 · Oak Brook, Il
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 18, 2002 to Dec 31, 2004 · Oak Brook, Il
- D••••••• B••• S••••••••• I••• no RAUMJan 16, 2001 to May 16, 2002 · Chicago, Il
- M••• J• D•••• A••••••• L•• to C•••••• S••••• C•••••• L••left Dec 31, 2012, registered Jan 17, 2013 (17 days) · Other
- W••••••• • C• to M••• J• D•••• A••••••• L••left Sep 15, 2011, registered Nov 22, 2011 (68 days) · Other
- E•••••• F•••••••• S••••••• to W••••••• • C•left Dec 31, 2005, registered Sep 19, 2006 (262 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to E•••••• F•••••••• S•••••••left Dec 31, 2004, registered Feb 4, 2005 (35 days) · Other
- D••••••• B••• S••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left May 16, 2002, registered Jun 18, 2002 (33 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address