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••••••• M••• O•••••
- S••••••• C•••••• M••••••••• L•• other currentsince Jan 17, 2017 · Charlotte, Nc
- C•••• C••••••• L•• formerFeb 10, 2015 to Jan 14, 2016 · Glen Ellyn, Il
- G••• H••••• F•••••••• formerJun 6, 2013 to Jan 2, 2015 · Chicago, Il
- V••• I••••••••• M••••••••• C•• L•• asset managerOct 12, 2009 to Dec 8, 2011 · New York, Ny
- A••••••• A•••• M••••••••• I••• mixed wealthMay 5, 2009 to Oct 16, 2009 · Madison, Ct
- U•• F•••••••• S••••••• I••• wirehouseJul 29, 2008 to Jan 6, 2009 · Stamford, Ct
- B••• A•••••••• L•• formerApr 4, 2005 to Jul 22, 2008 · Canton, Ct
- C••••••• M••••••••• A•••••••• I••• unclassifiedAug 26, 2004 to Apr 4, 2005 · Boston, Ma
- S••••••• BD affiliatedSep 6, 2002 to Jan 1, 2003 · Charlotte, Nc
- C•••• C••••••• L•• to S••••••• C•••••• M••••••••• L••left Jan 14, 2016, registered Jan 17, 2017 (369 days) · Other
- G••• H••••• F•••••••• to C•••• C••••••• L••left Jan 2, 2015, registered Feb 10, 2015 (39 days) · Other · moved with a team
- V••• I••••••••• M••••••••• C•• L•• to G••• H••••• F••••••••left Dec 8, 2011, registered Jun 6, 2013 (546 days) · Other
- A••••••• A•••• M••••••••• I••• to V••• I••••••••• M••••••••• C•• L••left Oct 16, 2009, registered Oct 12, 2009 (-4 days) · Other
- U•• F•••••••• S••••••• I••• to A••••••• A•••• M••••••••• I•••left Jan 6, 2009, registered May 5, 2009 (119 days) · Other
- B••• A•••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 22, 2008, registered Jul 29, 2008 (7 days) · Other
- C••••••• M••••••••• A•••••••• I••• to B••• A•••••••• L••left Apr 4, 2005, registered Apr 4, 2005 (0 days) · Other
- S••••••• to C••••••• M••••••••• A•••••••• I•••left Jan 1, 2003, registered Aug 26, 2004 (603 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
- Other adviserderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address