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.
- D•••••• state registered currentsince Sep 11, 2019 · Mount Prospect, Il
- H••••• I••••••••• M••••••••• L•• independent RIAApr 11, 2016 to Sep 12, 2019 · Mt. Prospect, Il
- I••••• F•••••••• C••••••••• formerJul 2, 2009 to Apr 8, 2016 · St. Charles, Il
- N•••••• I••••••••• I••• unclassifiedJan 11, 2008 to Jul 7, 2009 · Carpentersville, Il
- I••••• F•••••••• C••••••••• formerDec 8, 2006 to Jan 31, 2008 · Elgin, Il
- H••••• I••••••••• M••••••••• L•• to D••••••left Sep 12, 2019, registered Sep 11, 2019 (-1 days) · RIA to a state-registered adviser
- I••••• F•••••••• C••••••••• to H••••• I••••••••• M••••••••• L••left Apr 8, 2016, registered Apr 11, 2016 (3 days) · Other
- N•••••• I••••••••• I••• to I••••• F•••••••• C•••••••••left Jul 7, 2009, registered Jul 2, 2009 (-5 days) · Other
- I••••• F•••••••• C••••••••• to N•••••• I••••••••• I•••left Jan 31, 2008, registered Jan 11, 2008 (-20 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address