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••••• K•••••• N•••••
- A••••• F•••••••• P•••••••• I••• independent RIA currentsince Feb 11, 2011 · Westchester, Il
- Q•• F•••••••• L•• unclassifiedSep 2, 2008 to Feb 11, 2011 · Naperville, Il
- W••••••••• F•••••••• G••••• I••• unclassifiedJan 3, 2005 to Sep 3, 2008 · Naperville, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMDec 6, 2002 to Dec 8, 2004 · Oak Brook, Il
- Q•• F•••••••• L•• to A••••• F•••••••• P•••••••• I•••left Feb 11, 2011, registered Feb 11, 2011 (0 days) · Other
- W••••••••• F•••••••• G••••• I••• to Q•• F•••••••• L••left Sep 3, 2008, registered Sep 2, 2008 (-1 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to W••••••••• F•••••••• G••••• I•••left Dec 8, 2004, registered Jan 3, 2005 (26 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address