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••••• J•••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 7, 2019 · Oak Brook, Il
- F•• S••••••••• C••••••••• formerSep 24, 2009 to Nov 18, 2019 · Atlanta, Ga
- W••••••••• F•••••••• G••••• I••• unclassifiedDec 10, 2008 to Aug 24, 2009 · Villa Park, Il
- R•••••••• S••••••••• C••• unclassifiedOct 28, 1997 to Sep 3, 2003 · Villa Park, Il
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left Nov 18, 2019, registered Nov 7, 2019 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••••• F•••••••• G••••• I••• to F•• S••••••••• C•••••••••left Aug 24, 2009, registered Sep 24, 2009 (31 days) · Other
- R•••••••• S••••••••• C••• to W••••••••• F•••••••• G••••• I•••left Sep 3, 2003, registered Dec 10, 2008 (1925 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