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.
J•••• P•••••• K••••
- U•••••• I••••••••• M••••••••• L••••• independent RIA currentsince Nov 16, 2017 · Skokie, Il
- R•••••••• S••••••• A••••••• formerOct 12, 2015 to Oct 4, 2017 · San Francisco, Ca
- R••• C•••••• P•••••••• L•• state registeredJan 17, 2013 to Sep 30, 2015 · Newport Beach, Ca
- A••••••• E•••••••• I••• formerJun 23, 2005 to Nov 20, 2012 · Chicago, Il
- H•••••• W••••• L•• independent RIADec 20, 2002 to Apr 27, 2006 · Deerfield, Il
- A••••••• E•••••••• I••• formerSep 24, 2002 to Feb 18, 2003 · Chicago, Il
- R•••••••• S••••••• A••••••• to U•••••• I••••••••• M••••••••• L•••••left Oct 4, 2017, registered Nov 16, 2017 (43 days) · Other
- R••• C•••••• P•••••••• L•• to R•••••••• S••••••• A•••••••left Sep 30, 2015, registered Oct 12, 2015 (12 days) · Other
- A••••••• E•••••••• I••• to R••• C•••••• P•••••••• L••left Nov 20, 2012, registered Jan 17, 2013 (58 days) · Other
- H•••••• W••••• L•• to A••••••• E•••••••• I•••left Apr 27, 2006, registered Jun 23, 2005 (-308 days) · Other
- A••••••• E•••••••• I••• to H•••••• W••••• L••left Feb 18, 2003, registered Dec 20, 2002 (-60 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address