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.
S•••••• P•••• M•••••
- C• W••••• M••••••••• L•• independent RIA currentsince Aug 29, 2019 · Schaumburg, Il
- F••••••• W••••• A•••••••• L•• independent RIADec 13, 2017 to Aug 16, 2018 · Chicago, Il
- F•••• A••••••• independent RIAJul 18, 2013 to Nov 13, 2017 · Plymouth, Mn
- F•••• A•• C•••••• formerAug 13, 2012 to Dec 20, 2013 · Chicago, Il
- F•••••••• L•• formerJul 29, 2009 to Oct 31, 2011 · Chicago, Il
- B• R•••• W••••• M••••••••• formerSep 22, 2005 to Jul 30, 2009 · Chicago, Il
- A••••••• E•••••••• I••• formerJul 23, 2004 to Sep 23, 2005 · Chicago, Il
- O••••••••• A•••• M••••••••• BD affiliatedApr 15, 2003 to Jul 8, 2003 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 3, 2003 to Apr 15, 2003 · Chicago, Il
- C••• W•••• M•••••• C•••• unclassifiedMar 26, 2001 to Jan 3, 2003 · Chicago, Il
- F••••••• W••••• A•••••••• L•• to C• W••••• M••••••••• L••left Aug 16, 2018, registered Aug 29, 2019 (378 days) · RIA to affiliated broker-dealer or bank
- F•••• A••••••• to F••••••• W••••• A•••••••• L••left Nov 13, 2017, registered Dec 13, 2017 (30 days) · Other
- F•••• A•• C•••••• to F•••• A•••••••left Dec 20, 2013, registered Jul 18, 2013 (-155 days) · Other
- F•••••••• L•• to F•••• A•• C••••••left Oct 31, 2011, registered Aug 13, 2012 (287 days) · Other
- B• R•••• W••••• M••••••••• to F•••••••• L••left Jul 30, 2009, registered Jul 29, 2009 (-1 days) · Other
- A••••••• E•••••••• I••• to B• R•••• W••••• M•••••••••left Sep 23, 2005, registered Sep 22, 2005 (-1 days) · Other
- O••••••••• A•••• M••••••••• to A••••••• E•••••••• I•••left Jul 8, 2003, registered Jul 23, 2004 (381 days) · Other
- O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••left Apr 15, 2003, registered Apr 15, 2003 (0 days) · corporate re-registration, not a move
- C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address