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.
K•• W• S••••
- A••••• F•••••••• P•••••••• I••• independent RIA currentsince Jun 30, 2020 · Naples, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 13, 2020 to Jul 13, 2020 · Chicago, Il
- O•••••• I••••••••• A•••••••• L•• formerApr 19, 2011 to Aug 3, 2020 · Chicago, Il
- W•••••• B•••• • C•••••• L••••• BD affiliatedMay 12, 2006 to Apr 6, 2011 · Chicago, Il
- O•••••• I••••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 3, 2020, registered Mar 13, 2020 (-143 days) · RIA to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••• F•••••••• P•••••••• I•••left Jul 13, 2020, registered Jun 30, 2020 (-13 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• B•••• • C•••••• L••••• to O•••••• I••••••••• A•••••••• L••left Apr 6, 2011, registered Apr 19, 2011 (13 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address