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.
P•••••• B•••• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 14, 2018 · Berkeley, Il
- I••••••••• P••••••••• I••• formerJul 21, 2017 to Sep 24, 2018 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedSep 18, 2013 to Oct 22, 2014 · Chicago, Il
- F••••••••• A•••••••• I••• unclassifiedMay 16, 2012 to Sep 18, 2013 · Glenview, Il
- C••••• I••••••••• S••••••• L•• formerMay 7, 2008 to Mar 22, 2011 · Princeton, Il
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 14, 2018 (-102 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to I••••••••• P••••••••• I•••left Oct 22, 2014, registered Jul 21, 2017 (1003 days) · Other
- F••••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 18, 2013, registered Sep 18, 2013 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to F••••••••• A•••••••• I•••left Mar 22, 2011, registered May 16, 2012 (421 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address