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.
A•• M•••• M•••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 31, 2019 · Downers Grove, Il
- S••••••••• A•••••• A•••••••• I••• formerDec 11, 2013 to Jun 3, 2019 · Crystal Lake, Il
- D••••••••• R••••••••• P•••••••• I••• formerFeb 27, 2012 to Dec 31, 2013 · Crystal Lake, Il
- M••• I••••••••• S••••••••• I••• independent RIAJan 2, 2009 to Dec 1, 2011 · Wayne, Il
- H••••••• C•••••• M••••••••• I•• formerJan 12, 1998 to Dec 1, 2011 · Schaumburg, Il
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Jun 3, 2019, registered May 31, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- D••••••••• R••••••••• P•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 31, 2013, registered Dec 11, 2013 (-20 days) · Other
- H••••••• C•••••• M••••••••• I•• to M••• I••••••••• S••••••••• I•••left Dec 1, 2011, registered Jan 2, 2009 (-1063 days) · Other
- M••• I••••••••• S••••••••• I••• to D••••••••• R••••••••• P•••••••• I•••left Dec 1, 2011, registered Feb 27, 2012 (88 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address