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.
P•••• J•••• C•••••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Jun 19, 2017 · Buffalo Grove, Il
- S•• F••••••••• L•• independent RIAAug 13, 2014 to Jun 23, 2017 · Buffalo Grove, Il
- G••••• F•••••••• P•••••• C••••••• I••• formerApr 27, 2011 to Sep 17, 2014 · Buffalo, Il
- S•••••• I••••••••• G••••• L•• formerJul 23, 2008 to Feb 9, 2009 · Palm Harbor, Fl
- A••••••• I••••••••• S••••••• formerOct 22, 2007 to Oct 21, 2010 · Crystal Lake, Il
- C••••• A•••••• N••••••• L•• formerMar 9, 2007 to Sep 19, 2007 · Rolling Meadows, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 20, 2001 to Nov 17, 2005 · Chicago, Il
- S•• F••••••••• L•• to B••••••••• C•••••• M••••••••• L••left Jun 23, 2017, registered Jun 19, 2017 (-4 days) · Other
- G••••• F•••••••• P•••••• C••••••• I••• to S•• F••••••••• L••left Sep 17, 2014, registered Aug 13, 2014 (-35 days) · Other
- A••••••• I••••••••• S••••••• to S•••••• I••••••••• G••••• L••left Oct 21, 2010, registered Jul 23, 2008 (-820 days) · Other
- S•••••• I••••••••• G••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Feb 9, 2009, registered Apr 27, 2011 (807 days) · Other
- C••••• A•••••• N••••••• L•• to A••••••• I••••••••• S•••••••left Sep 19, 2007, registered Oct 22, 2007 (33 days) · Other
- M•• I•••••••• S•••••••• L•• to C••••• A•••••• N••••••• L••left Nov 17, 2005, registered Mar 9, 2007 (477 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address