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•••••• L•••• M••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Warrenville, Il
- W••••••• F•••••••• S•••••••• I••• formerNov 18, 2019 to Jan 19, 2024 · Warrenville, Il
- B•• H••••• F•••••••• A•••••••• I•• formerDec 14, 2005 to Nov 14, 2019 · South Elgin, Il
- E•••••• C•••••• M••••••••• L•• formerMay 26, 2005 to Dec 31, 2005 · St. Charles, Il
- U•• F•••••••• S••••••• I••• wirehouseMar 11, 2004 to Nov 26, 2004 · Chicago, 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
- B•• H••••• F•••••••• A•••••••• I•• to W••••••• F•••••••• S•••••••• I•••left Nov 14, 2019, registered Nov 18, 2019 (4 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Dec 31, 2005, registered Dec 14, 2005 (-17 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to E•••••• C•••••• M••••••••• L••left Nov 26, 2004, registered May 26, 2005 (181 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address