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•••••• C•••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 23, 2020 · Park Ridge, Il
- S•••••••• F••••••••• I••• formerMar 11, 2015 to Jun 10, 2020 · Oakbrook, Il
- R••••••••• P••• A•••••••• L•• mixed wealthJan 30, 2004 to Mar 10, 2015 · Chicago, Il
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jun 10, 2020, registered Jun 23, 2020 (13 days) · Affiliated broker-dealer or bank to another · moved with a team
- R••••••••• P••• A•••••••• L•• to S•••••••• F••••••••• I•••left Mar 10, 2015, registered Mar 11, 2015 (1 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address