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.
D•••• L••••••• D••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 16, 2024 · Northbrook, Il
- S•• I••••••••• A•••••••• I••• formerAug 6, 2012 to Sep 17, 2024 · Fresno, Ca
- B••••••••• L•• formerDec 4, 2007 to Aug 6, 2012 · Boca Raton, Fl
- F•••••••• W••• G•••• formerNov 13, 2003 to Dec 3, 2007 · Northbrook, Il
- S•• I••••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 17, 2024, registered Sep 16, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- B••••••••• L•• to S•• I••••••••• A•••••••• I•••left Aug 6, 2012, registered Aug 6, 2012 (0 days) · Other
- F•••••••• W••• G•••• to B••••••••• L••left Dec 3, 2007, registered Dec 4, 2007 (1 days) · Other
- D•••• L••••••• D•••• left S•• I••••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-09-16)Sep 17, 2024 · Advisor changed firm · fact
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