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••••• A••••• M••••••
- F•••• F•••••••• M••••••••• L• independent RIA currentsince Aug 1, 2012 · Lake Forest, Il
- S•••••• S••••••••• L•• formerApr 23, 2004 to Nov 30, 2012 · Lake Forest, Il
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Apr 5, 2004 · Chicago, Il
- P••••••• L•• unclassifiedJun 13, 1998 to Jan 17, 2003 · Chicago, Il
- S•••••• S••••••••• L•• to F•••• F•••••••• M••••••••• L•left Nov 30, 2012, registered Aug 1, 2012 (-121 days) · Other
- C••••• S••••• S••••••••• •••• L•• to S•••••• S••••••••• L••left Apr 5, 2004, registered Apr 23, 2004 (18 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address