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.
P•••••• F•••
- E•••••• E••••• L•• BD affiliated currentsince Jul 23, 2021 · San Mateo, Ca
- F••••••• W••••• A•••••••• L•• independent RIAFeb 7, 2020 to Jul 1, 2021 · Lake Forest, Il
- B••••••• I••••••••• A•••••••• L•• state registeredJul 30, 2019 to Mar 16, 2020 · Chicago, Il
- G•••• P•••• A••••••• L•• unclassifiedApr 13, 2018 to Dec 31, 2018 · Chicago, Il
- W•••••• S••••••••• C••••••••• unclassifiedOct 14, 2008 to Oct 27, 2009 · Eden Prairie, Mn
- A••••••• E•••••••• I••• formerOct 4, 2006 to Oct 24, 2008 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Feb 14, 2003 · Chicago, Il
- P••••••• L•• unclassifiedSep 5, 2000 to Jan 17, 2003 · Chicago, Il
- F••••••• W••••• A•••••••• L•• to E•••••• E••••• L••left Jul 1, 2021, registered Jul 23, 2021 (22 days) · RIA to affiliated broker-dealer or bank
- B••••••• I••••••••• A•••••••• L•• to F••••••• W••••• A•••••••• L••left Mar 16, 2020, registered Feb 7, 2020 (-38 days) · Other
- G•••• P•••• A••••••• L•• to B••••••• I••••••••• A•••••••• L••left Dec 31, 2018, registered Jul 30, 2019 (211 days) · Other · moved with a team
- W•••••• S••••••••• C••••••••• to G•••• P•••• A••••••• L••left Oct 27, 2009, registered Apr 13, 2018 (3090 days) · Other
- A••••••• E•••••••• I••• to W•••••• S••••••••• C•••••••••left Oct 24, 2008, registered Oct 14, 2008 (-10 days) · Other
- C••••• S••••• S••••••••• •••• L•• to A••••••• E•••••••• I•••left Feb 14, 2003, registered Oct 4, 2006 (1328 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address