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•••••• A•••• O••
- A••••• F•••••••• P•••••••• I••• independent RIA currentsince Jun 22, 2018 · Downers Grove, Il
- B•• W••••• A•••••••• L•• independent RIANov 8, 2012 to Jun 23, 2018 · Vernon Hills, Il
- C••• F•••••••• S•••••••• L••• formerApr 5, 2010 to Jun 25, 2018 · Vernon Hills, Il
- C••• B•••••••• S•••••••• I••• formerFeb 5, 2010 to Apr 6, 2010 · Vernon Hills, Il
- E•••••••• A•••••••• L•• national BDMar 2, 2006 to Jan 28, 2010 · Oak Brook, Il
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 30, 2003 to Mar 10, 2006 · Northbrook, Il
- C•••••• L•• independent RIAJul 10, 2002 to Jul 10, 2003 · St. Charles, Il
- C••• F•••••••• S•••••••• L••• to B•• W••••• A•••••••• L••left Jun 25, 2018, registered Nov 8, 2012 (-2055 days) · Other
- B•• W••••• A•••••••• L•• to A••••• F•••••••• P•••••••• I•••left Jun 23, 2018, registered Jun 22, 2018 (-1 days) · RIA to RIA
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Apr 6, 2010, registered Apr 5, 2010 (-1 days) · Other
- E•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••left Jan 28, 2010, registered Feb 5, 2010 (8 days) · Other
- A••••••••• A•••••• S•••••••• I••• to E•••••••• A•••••••• L••left Mar 10, 2006, registered Mar 2, 2006 (-8 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 10, 2003, registered Jun 30, 2003 (-10 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address