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••• V•••••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 12, 2013 · Indian Rocks Beach, Fl
- U•• F•••••••• S••••••• I••• wirehouseJul 27, 2007 to Nov 19, 2013 · Oakbrook Terrac, Il
- W•••••• B•••• • C•••••• L••••• BD affiliatedSep 20, 2006 to Jul 31, 2007 · Chicago, Il
- P••••••• L•• unclassifiedJun 26, 2001 to May 29, 2002 · Chicago, Il
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Nov 19, 2013, registered Nov 12, 2013 (-7 days) · Wirehouse to wirehouse
- W•••••• B•••• • C•••••• L••••• to U•• F•••••••• S••••••• I•••left Jul 31, 2007, registered Jul 27, 2007 (-4 days) · Other
- P••••••• L•• to W•••••• B•••• • C•••••• L•••••left May 29, 2002, registered Sep 20, 2006 (1575 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address