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••• M••••••• B•••••••
- J•••••••• I••••••••• A••••••• L•• mixed wealth currentsince May 24, 2023 · New York, Ny
- L••••••• A•••• M••••••••• L•• asset managerDec 6, 2013 to Aug 14, 2023 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerMar 14, 2013 to Dec 19, 2013 · Chicago, Il
- D••••••• B••• S••••••••• I••• no RAUMDec 13, 2010 to Dec 19, 2011 · Chicago, Il
- O••••••••• • C•• I••• BD affiliatedAug 9, 2005 to Dec 1, 2010 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDAug 5, 2003 to Dec 1, 2004 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 13, 2002 to Jul 23, 2002 · Chicago, Il
- L••••••• A•••• M••••••••• L•• to J•••••••• I••••••••• A••••••• L••left Aug 14, 2023, registered May 24, 2023 (-82 days) · corporate re-registration, not a move
- C••••• S••••• S••••••••• •••• L•• to L••••••• A•••• M••••••••• L••left Dec 19, 2013, registered Dec 6, 2013 (-13 days) · Other
- D••••••• B••• S••••••••• I••• to C••••• S••••• S••••••••• •••• L••left Dec 19, 2011, registered Mar 14, 2013 (451 days) · Other
- O••••••••• • C•• I••• to D••••••• B••• S••••••••• I•••left Dec 1, 2010, registered Dec 13, 2010 (12 days) · Other
- C•••••• S••••• • C••• I••• to O••••••••• • C•• I•••left Dec 1, 2004, registered Aug 9, 2005 (251 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jul 23, 2002, registered Aug 5, 2003 (378 days) · Affiliated broker-dealer or bank to another
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address