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••• S••••••• B••••••••
- L••••••• S••••••••• C•••• BD affiliated currentsince Jul 19, 2012 · Rochester, Ny
- S•••••• P•••••• A••••••• L•• formerOct 2, 2007 to Aug 12, 2008 · Chicago, Il
- F••• F•••••••• S•••••••• L••••• unclassifiedJan 21, 2003 to Nov 14, 2003 · Deerfield, Il
- C••••• A•••••• N••••••• L•• formerMay 30, 2002 to Dec 16, 2002 · Arlington Heights, Il
- S•••••• P•••••• A••••••• L•• to L••••••• S••••••••• C••••left Aug 12, 2008, registered Jul 19, 2012 (1437 days) · Other
- F••• F•••••••• S•••••••• L••••• to S•••••• P•••••• A••••••• L••left Nov 14, 2003, registered Oct 2, 2007 (1418 days) · Other
- C••••• A•••••• N••••••• L•• to F••• F•••••••• S•••••••• L•••••left Dec 16, 2002, registered Jan 21, 2003 (36 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address