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••••• E••••• F••
- V•••••• A•••••••• I••• BD affiliated currentsince Nov 10, 2015 · Glenview, Il
- U•• S••••••••• I••• no RAUMMay 22, 2003 to Nov 24, 2015 · Chicago, Il
- E•• F•••••••• A••••••• independent RIAMay 25, 2001 to May 22, 2003 · Highwood, Il
- U•• S••••••••• I••• to V•••••• A•••••••• I•••left Nov 24, 2015, registered Nov 10, 2015 (-14 days) · Other
- E•• F•••••••• A••••••• to U•• S••••••••• I•••left May 22, 2003, registered May 22, 2003 (0 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address