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.
T••••• J•••• K•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Oct 9, 2018 · C••••••, Il
- A••••••• T•••• I••••••••• S•••••••• I••• unclassifiedMay 19, 2014 to Nov 2, 2018 · San Clemente, Ca
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliatedMar 2, 2006 to Apr 11, 2014 · Elmhurst, Il
- C•••••• C•••••• M••••••••• A•••••••• L•• independent RIAAug 19, 2004 to Nov 15, 2011 · Lisle, Il
- C••••••• I••••••••• S••••••• unclassifiedFeb 2, 2004 to May 4, 2004 · Northbrook, Il
- A••••••• T•••• I••••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Nov 2, 2018, registered Oct 9, 2018 (-24 days) · Other
- L•••••• S•• I••••••••• A•••••••• L••••• to A••••••• T•••• I••••••••• S•••••••• I•••left Apr 11, 2014, registered May 19, 2014 (38 days) · Other
- C•••••• C•••••• M••••••••• A•••••••• L•• to L•••••• S•• I••••••••• A•••••••• L•••••left Nov 15, 2011, registered Mar 2, 2006 (-2084 days) · Other
- C••••••• I••••••••• S••••••• to C•••••• C•••••• M••••••••• A•••••••• L••left May 4, 2004, registered Aug 19, 2004 (107 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address