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.
- E••••••• C•••••• state registered currentsince Mar 1, 2006 · Vernon Hills, Il
- L•• F•••••••• L•• BD affiliatedMar 26, 2003 to Jan 8, 2007 · Vernon Hills, Il
- W•••• F•••• A••••••• wirehouseSep 10, 2001 to Apr 15, 2003 · Chicago, Il
- L•• F•••••••• L•• to E••••••• C••••••left Jan 8, 2007, registered Mar 1, 2006 (-313 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Apr 15, 2003, registered Mar 26, 2003 (-20 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
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address