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.
W•••••• B•••• H••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Oct 30, 2020 · Morristown, Nj
- T• A•••• M••••••••• L•• independent RIAApr 6, 2016 to Sep 30, 2020 · Naperville, Il
- W••••••• F•••••••• S•••••••• I••• formerMar 28, 2013 to Apr 4, 2016 · Warrenville, Il
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliatedJun 29, 2012 to Mar 28, 2013 · Elmhurst, Il
- B••••••••• L•• formerMar 6, 2009 to Jun 29, 2012 · Chicago, Il
- U•• A•••••••• L•• unclassifiedJan 22, 2007 to Jul 7, 2009 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Jan 23, 2007 · Wheaton, Il
- B••• O•• S••••••••• C••••••••• unclassifiedMar 22, 2005 to Jul 6, 2005 · Wheaton, Il
- B••• O•• S••••••••• C••••••••• unclassifiedJul 17, 2002 to Sep 1, 2004 · Downersgrove, Il
- A• G• E•••••• • S•••• I••• unclassifiedAug 31, 2001 to Jul 31, 2002 · Joliet, Il
- T• A•••• M••••••••• L•• to P•••••• A•••••• G••••• L••left Sep 30, 2020, registered Oct 30, 2020 (30 days) · RIA to affiliated broker-dealer or bank
- W••••••• F•••••••• S•••••••• I••• to T• A•••• M••••••••• L••left Apr 4, 2016, registered Apr 6, 2016 (2 days) · Other
- L•••••• S•• I••••••••• A•••••••• L••••• to W••••••• F•••••••• S•••••••• I•••left Mar 28, 2013, registered Mar 28, 2013 (0 days) · Other
- B••••••••• L•• to L•••••• S•• I••••••••• A•••••••• L•••••left Jun 29, 2012, registered Jun 29, 2012 (0 days) · Other
- U•• A•••••••• L•• to B••••••••• L••left Jul 7, 2009, registered Mar 6, 2009 (-123 days) · Other
- C•••• I••••••••• S••••••• C•••• to U•• A•••••••• L••left Jan 23, 2007, registered Jan 22, 2007 (-1 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to B••• O•• S••••••••• C•••••••••left Jul 31, 2002, registered Jul 17, 2002 (-14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address