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.
M••• J•••• C••••••
- C••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince Nov 3, 2017 · Chicago, Il
- G••••• A•••••••• L•• formerJun 14, 2012 to Sep 1, 2017 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 29, 2010 · Chicago, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Chicago, Il
- M••••• S•••••• D• I••• unclassifiedOct 25, 2006 to Apr 2, 2007 · Chicago, Il
- C••• P•••••• W••••• A•••••••• I••• BD affiliatedDec 22, 2000 to Oct 23, 2006 · Chicago, Il
- G••••• A•••••••• L•• to C••• P•••••• W••••• A•••••••• I•••left Sep 1, 2017, registered Nov 3, 2017 (63 days) · corporate re-registration, not a move
- M••••• S•••••• to G••••• A•••••••• L••left Nov 29, 2010, registered Jun 14, 2012 (563 days) · Other
- 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
- C••• P•••••• W••••• A•••••••• I••• to M••••• S•••••• D• I•••left Oct 23, 2006, registered Oct 25, 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
- 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