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•••••• G•••••• P•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 30, 2017 · Lombard, Il
- A••••••••• F•••••••• S•••••••• L•• national BDAug 30, 2016 to Oct 5, 2017 · Schaumburg, Il
- W•••• F•••• A••••••• wirehouseJan 24, 2014 to Sep 1, 2016 · Woodstock, Il
- H• B•••• I••• formerSep 15, 2006 to Dec 31, 2013 · Rockville, Md
- M••••• S•••••• D• I••• unclassifiedAug 16, 2005 to Jun 7, 2006 · Riverwoods, Il
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Oct 5, 2017, registered Nov 30, 2017 (56 days) · Other
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Sep 1, 2016, registered Aug 30, 2016 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- H• B•••• I••• to W•••• F•••• A•••••••left Dec 31, 2013, registered Jan 24, 2014 (24 days) · Other
- M••••• S•••••• D• I••• to H• B•••• I•••left Jun 7, 2006, registered Sep 15, 2006 (100 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address