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.
B•••• D••••• H•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · St Charles, Il
- S••••••••• A•••••• A•••••••• I••• formerNov 12, 2020 to Jun 14, 2024 · St Charles, Il
- C••••••• F••••••••• L•• unclassifiedNov 7, 2013 to Mar 16, 2021 · St. Charles, Il
- P•••••• A••••••• L•• formerOct 20, 2006 to Jan 6, 2014 · Naperville, Il
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- C••••••• F••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Mar 16, 2021, registered Nov 12, 2020 (-124 days) · Other
- P•••••• A••••••• L•• to C••••••• F••••••••• L••left Jan 6, 2014, registered Nov 7, 2013 (-60 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address