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.
C••• F•••••••••
- A••••••• I••••••••• S••••••••• G••••• L•• i••••••••• wealth currentsince Jan 27, 2022 · Rockford, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 11, 2021 to Jul 27, 2021 · Milwaukee, Wi
- D••• D••••••• • C•• i••••••••• wealthMar 11, 2019 to May 6, 2020 · Great Falls, Mt
- J••• F• S••• W••••• M••••••••• L•• i••••••••• wealthJun 20, 2017 to Mar 1, 2019 · Madison, Wi
- H• B•••• I••• formerApr 16, 2015 to Mar 15, 2017 · Rockville, Md
- L•• F•••••••• L•• BD affiliatedOct 15, 2013 to Dec 8, 2014 · Rockford, Il
- J••• M••••• S••••••••• L•• wirehouseSep 28, 2012 to Sep 20, 2013 · New York, Ny
- A••••• I••••••••• S•••••••• I•• unclassifiedMar 2, 2009 to Sep 30, 2010 · Rockford, Il
- N••••••••• M••••• I••••••••• S••••••••• to A••••••• I••••••••• S••••••••• G••••• L••left Jul 27, 2021, registered Jan 27, 2022 (184 days) · Other
- D••• D••••••• • C•• to N••••••••• M••••• I••••••••• S•••••••••left May 6, 2020, registered Jan 11, 2021 (250 days) · Other
- J••• F• S••• W••••• M••••••••• L•• to D••• D••••••• • C••left Mar 1, 2019, registered Mar 11, 2019 (10 days) · RIA to RIA
- H• B•••• I••• to J••• F• S••• W••••• M••••••••• L••left Mar 15, 2017, registered Jun 20, 2017 (97 days) · Other
- L•• F•••••••• L•• to H• B•••• I•••left Dec 8, 2014, registered Apr 16, 2015 (129 days) · Other
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Sep 20, 2013, registered Oct 15, 2013 (25 days) · Other
- A••••• I••••••••• S•••••••• I•• to J••• M••••• S••••••••• L••left Sep 30, 2010, registered Sep 28, 2012 (729 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
- I••••••••• WEALTHderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address