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.
R•••••• M• S•••••
- W•••• F•••• A••••••• wirehouse currentsince May 1, 2015 · Orland Park, Il
- M••••• S•••••• wirehouseJun 1, 2009 to May 13, 2015 · Chicago, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Chicago, Il
- M••••• S•••••• D• I••• unclassifiedAug 7, 2006 to Apr 2, 2007 · Merrilville, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 15, 1998 to Aug 9, 2006 · M••••••Ville, In
- M••••• S•••••• to W•••• F•••• A•••••••left May 13, 2015, registered May 1, 2015 (-12 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Aug 9, 2006, registered Aug 7, 2006 (-2 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
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address