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.
S••••• M• J••••••••
- B•••••• L••• A••••••• S•••••••• I••• BD affiliated currentsince Aug 29, 2017 · Chicago, Il
- M•• F•••••••• A•••••••• I••• formerMar 23, 2012 to Aug 31, 2012 · Milwaukee, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerDec 8, 2005 to Aug 14, 2017 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerApr 18, 2002 to Dec 31, 2005 · Chicago, Il
- B•• H••••• F•••••••• A•••••••• I•• to M•• F•••••••• A•••••••• I•••left Aug 14, 2017, registered Mar 23, 2012 (-1970 days) · Other
- M•• F•••••••• A•••••••• I••• to B•••••• L••• A••••••• S•••••••• I•••left Aug 31, 2012, registered Aug 29, 2017 (1824 days) · Other
- E•••••• C•••••• M••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Dec 31, 2005, registered Dec 8, 2005 (-23 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