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•••••• K•••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 30, 2020 · Crystal Lake, Il
- G••••• R••••••••• P••••••• L•• institutional currentsince Aug 31, 2017 · San Rafael, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 25, 2014 to Sep 15, 2017 · Northbrook, Il
- C••••••••• F•••••••• N•••••• national BDJun 28, 2013 to May 14, 2014 · Deer Park, Il
- P••••• F•••••••• S•••••••• L•• formerNov 4, 2011 to Sep 17, 2014 · Deer Park, Il
- U•• F•••••••• S••••••• I••• to G••••• R••••••••• P••••••• L••left Sep 15, 2017, registered Aug 31, 2017 (-15 days) · Other
- P••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Sep 17, 2014, registered Jun 28, 2013 (-446 days) · Other
- C••••••••• F•••••••• N•••••• to U•• F•••••••• S••••••• I•••left May 14, 2014, registered Sep 25, 2014 (134 days) · Affiliated broker-dealer or bank to wirehouse
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
- Institutional managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address