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.
M•••••• J••••• M•••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 9, 2020 · Oak Brook, Il
- R•• P•••••• W•••••• L•• independent RIAJan 11, 2019 to Oct 7, 2020 · Hinsdale, Il
- P•••••• V••••• L•• formerAug 2, 2016 to Nov 4, 2020 · Hinsdale, Il
- W•• W••••• A•••••••• I••• formerSep 15, 1997 to Aug 1, 2016 · Hinsdale, Il
- P•••••• V••••• L•• to R•• P•••••• W•••••• L••left Nov 4, 2020, registered Jan 11, 2019 (-663 days) · RIA to RIA
- R•• P•••••• W•••••• L•• to H•••••••• A•••••••• L••left Oct 7, 2020, registered Oct 9, 2020 (2 days) · RIA to affiliated broker-dealer or bank
- W•• W••••• A•••••••• I••• to P•••••• V••••• L••left Aug 1, 2016, registered Aug 2, 2016 (1 days) · Other · moved with a team
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address