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••••• P•••••• K••••
- N••••• A•••• M••••••••• L•• mixed wealth currentsince Sep 28, 2020 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedNov 27, 2019 to Oct 12, 2020 · Madison, Wi
- N••••• A•••• M••••••••• L•• mixed wealthSep 1, 2011 to Apr 26, 2019 · Chicago, Il
- N••••• F••• A•••••••• L•• asset managerJan 25, 2008 to Sep 1, 2011 · Chicago, Il
- N••••• F••• A•••••••• L•• asset managerMay 17, 2006 to Oct 19, 2007 · Chicago, Il
- F•••• T•••• S••••••••• I••• BD affiliatedAug 23, 2005 to Sep 30, 2005 · Itasca, Il
- E•••••• C•••••• M••••••••• L•• formerJul 19, 2004 to Nov 29, 2004 · Westchester, Il
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliatedJul 7, 2004 to Jul 14, 2004 · Gurnee, Il
- I••••• F•••••••• C••••••••• formerAug 6, 2002 to Dec 6, 2003 · Western Springs, Il
- L•• F•••••••• L•• to N••••• A•••• M••••••••• L••left Oct 12, 2020, registered Sep 28, 2020 (-14 days) · Affiliated broker-dealer or bank to independent RIA
- N••••• A•••• M••••••••• L•• to L•• F•••••••• L••left Apr 26, 2019, registered Nov 27, 2019 (215 days) · RIA to affiliated broker-dealer or bank
- N••••• F••• A•••••••• L•• to N••••• A•••• M••••••••• L••left Sep 1, 2011, registered Sep 1, 2011 (0 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to N••••• F••• A•••••••• L••left Sep 30, 2005, registered May 17, 2006 (229 days) · Other
- E•••••• C•••••• M••••••••• L•• to F•••• T•••• S••••••••• I•••left Nov 29, 2004, registered Aug 23, 2005 (267 days) · Other
- L•••••• S•• I••••••••• A•••••••• L••••• to E•••••• C•••••• M••••••••• L••left Jul 14, 2004, registered Jul 19, 2004 (5 days) · Other
- I••••• F•••••••• C••••••••• to L•••••• S•• I••••••••• A•••••••• L•••••left Dec 6, 2003, registered Jul 7, 2004 (214 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address