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.
R••••• E••••• L••
- N•••••• F•••••••• G••••• I••• independent RIA currentsince Jul 1, 2019 · Dubuque, Ia
- B• R•••• W••••• M••••••••• formerSep 22, 2015 to Jul 8, 2019 · Chicago, Il
- V•• A••••••• S••••••• formerJul 8, 2010 to Sep 23, 2015 · Overland Park, Ks
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedJul 7, 2008 to Jul 7, 2010 · Lake Forest, Il
- B• R•••• W••••• M••••••••• to N•••••• F•••••••• G••••• I•••left Jul 8, 2019, registered Jul 1, 2019 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- V•• A••••••• S••••••• to B• R•••• W••••• M•••••••••left Sep 23, 2015, registered Sep 22, 2015 (-1 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to V•• A••••••• S•••••••left Jul 7, 2010, registered Jul 8, 2010 (1 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address