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.
W•••••• D•••• M•••••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Jul 2, 2019 · Chicago, Il
- O••••••••• • C•• I••• BD affiliatedSep 7, 2012 to Aug 7, 2015 · Chicago, Il
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 24, 2007 to Sep 12, 2012 · Chicago, Il
- R••• B••• • C•• unclassifiedSep 27, 2005 to Apr 24, 2007 · Chicago, Il
- O••••••••• • C•• I••• to B• R•••• W••••• A•••••••• I•••left Aug 7, 2015, registered Jul 2, 2019 (1425 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to O••••••••• • C•• I•••left Sep 12, 2012, registered Sep 7, 2012 (-5 days) · Other
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Apr 24, 2007, registered Apr 24, 2007 (0 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address