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••••• S•••••• wirehouse currentsince Jun 28, 2022 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseAug 21, 2018 to Jun 29, 2022 · Winnetka, Il
- C•••••• S••••• • C••• I••• national BDDec 22, 2015 to Aug 2, 2018 · Northbrook, Il
- M••••• S•••••• wirehouseDec 20, 2013 to May 21, 2015 · Chicago, Il
- R••••• W• B•••• • C•• I••••••••• mixed wealthMar 18, 2013 to Nov 6, 2013 · Winnetka, Il
- M••••• S•••••• wirehouseFeb 5, 2013 to Apr 2, 2013 · Deerfield, Il
- M••••• S•••••• D• I••• unclassifiedMar 13, 1998 to Apr 10, 2006 · Chicago, Il
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jun 29, 2022, registered Jun 28, 2022 (-1 days) · Wirehouse to wirehouse · moved with a team
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Aug 2, 2018, registered Aug 21, 2018 (19 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to C•••••• S••••• • C••• I•••left May 21, 2015, registered Dec 22, 2015 (215 days) · Wirehouse to affiliated broker-dealer or bank
- R••••• W• B•••• • C•• I••••••••• to M••••• S••••••left Nov 6, 2013, registered Dec 20, 2013 (44 days) · Other
- M••••• S•••••• to R••••• W• B•••• • C•• I•••••••••left Apr 2, 2013, registered Mar 18, 2013 (-15 days) · Other
- M••••• S•••••• D• I••• to M••••• S••••••left Apr 10, 2006, registered Feb 5, 2013 (2493 days) · Other
- L•••• H• S••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2022-06-28)Jun 29, 2022 · 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address