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.
M•••••• W•••••• T•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 2, 2018 · Oakbrook Terrace, Il
- W•••••• • R••• formerJan 6, 2015 to Jan 4, 2018 · Mokena, Il
- P••••••• F•••••••• S•••••••• I••• BD affiliatedSep 4, 2013 to Nov 30, 2015 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDApr 17, 2009 to Sep 26, 2013 · Arlington Hts, Il
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 24, 2003 to Oct 5, 2009 · Chicago, Il
- C•••••• L•• independent RIAMar 11, 2003 to Jun 25, 2003 · Oaklawn, Il
- W•••••• • R••• to R•••••• J•••• • A••••••••• I•••left Jan 4, 2018, registered Jan 2, 2018 (-2 days) · Other
- P••••••• F•••••••• S•••••••• I••• to W•••••• • R•••left Nov 30, 2015, registered Jan 6, 2015 (-328 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P••••••• F•••••••• S•••••••• I•••left Sep 26, 2013, registered Sep 4, 2013 (-22 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Apr 17, 2009 (-171 days) · corporate re-registration, not a move
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jun 25, 2003, registered Jun 24, 2003 (-1 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address