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.
L••• P• Z•••••
- S•••••• W••••• M••••••••• L•• independent RIA currentsince May 9, 2017 · Naperville, Il
- S••••••• P•••••••• A••••••••• S•••••• I•• unclassifiedSep 30, 1999 to Dec 31, 2002 · Naperville, Il
- W••••••••• F•••••••• G••••• I••• unclassifiedFeb 17, 1998 to Sep 8, 2009 · Naperville, Il
- H••••••• C•••••• M••••••••• I•• formerJan 28, 1998 to Sep 22, 2006 · Naperville, Il
- W••••••••• F•••••••• G••••• I••• to S••••••• P•••••••• A••••••••• S•••••• I••left Sep 8, 2009, registered Sep 30, 1999 (-3631 days) · Other
- H••••••• C•••••• M••••••••• I•• to W••••••••• F•••••••• G••••• I•••left Sep 22, 2006, registered Feb 17, 1998 (-3139 days) · Other
- S••••••• P•••••••• A••••••••• S•••••• I•• to S•••••• W••••• M••••••••• L••left Dec 31, 2002, registered May 9, 2017 (5243 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address