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••• A•••••• S••••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 21, 2016 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerSep 15, 2008 to Apr 12, 2016 · Chicago, Il
- L••••• B••••••• I••• unclassifiedJun 4, 2004 to Sep 19, 2008 · Chicago, Il
- B••• O• A•••••• S••••••••• L•• unclassifiedDec 20, 2000 to Jun 17, 2003 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••left Apr 12, 2016, registered Mar 21, 2016 (-22 days) · Other · moved with a team
- L••••• B••••••• I••• to C••••• S••••• S••••••••• •••• L••left Sep 19, 2008, registered Sep 15, 2008 (-4 days) · corporate re-registration, not a move
- B••• O• A•••••• S••••••••• L•• to L••••• B••••••• I•••left Jun 17, 2003, registered Jun 4, 2004 (353 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address