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•• S•••• S••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 4, 2015 · Chicago, Il
- B••••••• C•••••• I••• formerMay 31, 2013 to Dec 4, 2015 · Chicago, Il
- R•• C•••••• M••••••• L•• national BDDec 13, 2004 to Jun 24, 2013 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Dec 17, 2004 · Chicago, Il
- P••••••• L•• unclassifiedAug 28, 1992 to Jan 17, 2003 · Chicago, Il
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to B••••••• C•••••• I•••left Jun 24, 2013, registered May 31, 2013 (-24 days) · Other
- C••••• S••••• S••••••••• •••• L•• to R•• C•••••• M••••••• L••left Dec 17, 2004, registered Dec 13, 2004 (-4 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address