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.
A•••••• D• V•••••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Rosemont, Il
- P•••• S••••••••• L•• no RAUMMar 9, 2021 to Nov 14, 2024 · Downers Grove, Il
- P•••••••• S••••••••• I••• BD affiliatedAug 16, 2010 to Dec 31, 2020 · Deerfield, Il
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Jul 12, 2010 · Northbrook, Il
- W••••••••• F•••••••• G••••• I••• unclassifiedApr 26, 2006 to Sep 8, 2009 · Northbrook, Il
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to P•••• S••••••••• L••left Dec 31, 2020, registered Mar 9, 2021 (68 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Jul 12, 2010, registered Aug 16, 2010 (35 days) · Other
- W••••••••• F•••••••• G••••• I••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address