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•••• S•••• N•••••••
- P••••••••• B•••••••• S•••••••• I••• independent RIA currentsince Oct 20, 2014 · Freeport, Il
- I•••••••• A•••••••• L•• BD affiliatedDec 13, 2010 to Oct 17, 2014 · Dixon, Il
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Sep 30, 2009 · Dixon, Il
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJul 24, 2006 to Oct 31, 2008 · Dixon, Il
- M•••••• C•••••• M••••••••• I••• formerMay 12, 2003 to Sep 24, 2003 · Elgin, Il
- P•••• S••••••••• L•• no RAUMJun 15, 2001 to Apr 30, 2003 · Dixon, Il
- I•••••••• A•••••••• L•• to P••••••••• B•••••••• S•••••••• I•••left Oct 17, 2014, registered Oct 20, 2014 (3 days) · Other
- S•••••••• F••••••••• I••• to I•••••••• A•••••••• L••left Sep 30, 2009, registered Dec 13, 2010 (439 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
- M•••••• C•••••• M••••••••• I••• to A••••••• G•••••• S••••••••• I•••••••••left Sep 24, 2003, registered Jul 24, 2006 (1034 days) · Other
- P•••• S••••••••• L•• to M•••••• C•••••• M••••••••• I•••left Apr 30, 2003, registered May 12, 2003 (12 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address