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.
C•••••• B•••••• P•••••••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 16, 2023 · Darien, Il
- O•••• F•• I••• formerJul 8, 2019 to Nov 16, 2023 · Chicago, Il
- W••••••• F•••••••• S•••••••• I••• formerMay 6, 2009 to Jul 10, 2019 · Lisle, Il
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 21, 2004 to May 15, 2009 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedAug 1, 2001 to Jan 26, 2004 · Cicero, Il
- O•••• F•• I••• to O•••• W•••••• I•••left Nov 16, 2023, registered Nov 16, 2023 (0 days) · channel change inside one enterprise, not a move
- W••••••• F•••••••• S•••••••• I••• to O•••• F•• I•••left Jul 10, 2019, registered Jul 8, 2019 (-2 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left May 15, 2009, registered May 6, 2009 (-9 days) · Other
- L•• F•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Jan 26, 2004, registered Jan 21, 2004 (-5 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