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.
R•••••• H•••
- A••••• F•••••••• A•••••••• L•• independent RIA currentsince Mar 1, 2023 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 9, 2018 to Mar 25, 2020 · Chicago, Il
- E•••• S••••••••• L•• BD affiliatedDec 13, 2016 to Feb 21, 2018 · Chicago, Il
- A••••••• F•••••••• A•••••••• L•• BD affiliatedAug 29, 2012 to Dec 31, 2013 · Crystal Lake, Il
- N•• E•••••• S••••••••• C••••••••• formerOct 20, 2004 to Aug 15, 2012 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerSep 15, 2003 to Jul 26, 2004 · Hoffman Estates, Il
- C•••••• S••••• • C••• I••• national BDMar 13, 2001 to Sep 5, 2003 · Northbrook, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• F•••••••• A•••••••• L••left Mar 25, 2020, registered Mar 1, 2023 (1071 days) · Wirehouse to independent RIA
- E•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 21, 2018, registered Mar 9, 2018 (16 days) · Other
- A••••••• F•••••••• A•••••••• L•• to E•••• S••••••••• L••left Dec 31, 2013, registered Dec 13, 2016 (1078 days) · Other
- N•• E•••••• S••••••••• C••••••••• to A••••••• F•••••••• A•••••••• L••left Aug 15, 2012, registered Aug 29, 2012 (14 days) · Other
- E•••••• C•••••• M••••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Jul 26, 2004, registered Oct 20, 2004 (86 days) · Other
- C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••left Sep 5, 2003, registered Sep 15, 2003 (10 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address