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••••• T••••• W•••
- L•• F•••••••• L•• BD affiliated currentsince Mar 11, 2020 · Chicago, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Mar 13, 2020 · Chicago, Il
- M•• F•••••••• S•••••••• I••• formerSep 8, 2016 to Mar 25, 2017 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 2, 2014 to Sep 2, 2016 · Chicago, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthSep 28, 2006 to Feb 4, 2014 · Chicago, Il
- M•••••• F••••••••• I••• unclassifiedNov 15, 1999 to Dec 31, 2009 · Chicago, Il
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Mar 13, 2020, registered Mar 11, 2020 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Sep 2, 2016, registered Sep 8, 2016 (6 days) · Other
- M•••••• F•••••••• I••••••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 4, 2014, registered May 2, 2014 (87 days) · Other
- M•••••• F••••••••• I••• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Dec 31, 2009, registered Sep 28, 2006 (-1190 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address