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••••• S•••••• wirehouse currentsince Feb 12, 2019 · Deerfield, Il
- W•••• F•••• A••••••• wirehouseFeb 12, 2019 to Feb 22, 2019 · Deerfield, Il
- W•••••• B•••• • C•••••• L••••• BD affiliatedMar 7, 2007 to Jun 1, 2009 · Chicago, Il
- G•••• L•••• A•••••••• L•• otherJun 11, 2002 to Sep 17, 2003 · Chicago, Il
- W•••• F•••• A••••••• to M••••• S••••••left Feb 22, 2019, registered Feb 12, 2019 (-10 days) · Wirehouse to wirehouse
- W•••••• B•••• • C•••••• L••••• to W•••• F•••• A•••••••left Jun 1, 2009, registered Feb 12, 2019 (3543 days) · Other
- G•••• L•••• A•••••••• L•• to W•••••• B•••• • C•••••• L•••••left Sep 17, 2003, registered Mar 7, 2007 (1267 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address