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.
S••••• M•••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 5, 2024 · Geneva, Il
- T•••• S••••• A•••••••• L•• formerMar 18, 2010 to Apr 30, 2024 · Geneva, Il
- N•••• A•••••••• I••• unclassifiedMar 18, 2010 to Dec 31, 2021 · Geneva, Il
- F•• S••••••••• C••••••••• formerAug 18, 2009 to Sep 15, 2020 · Geneva, Il
- T•••• S••••• A•••••••• L•• to L•• F•••••••• L••left Apr 30, 2024, registered Feb 5, 2024 (-85 days) · RIA to affiliated broker-dealer or bank
- N•••• A•••••••• I••• to T•••• S••••• A•••••••• L••left Dec 31, 2021, registered Mar 18, 2010 (-4306 days) · Other
- F•• S••••••••• C••••••••• to N•••• A•••••••• I•••left Sep 15, 2020, registered Mar 18, 2010 (-3834 days) · Other
- S••••• M•••• B•••• left T•••• S••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2024-02-05)Apr 30, 2024 · Advisor changed firm · fact
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address