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.
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- L•• F•••••••• L•• BD affiliated currentsince Mar 24, 2021 · Aurora, Il
- B•• H••••• F•••••••• A•••••••• I•• formerAug 16, 2016 to Mar 24, 2021 · Batavia, Il
- J••• M••••• S••••••••• L•• wirehouseAug 19, 2015 to Aug 15, 2016 · Wheaton, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 12, 2012 to Jul 10, 2015 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedJul 11, 2011 to Sep 12, 2012 · Palos Heights, Il
- B•• H••••• F•••••••• A•••••••• I•• formerDec 16, 2005 to Jul 18, 2011 · Roselle, Il
- E•••••• C•••••• M••••••••• L•• formerFeb 5, 2002 to Dec 31, 2005 · Hinsdale, Il
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Aug 15, 2016, registered Aug 16, 2016 (1 days) · Other · moved with a team
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••left Jul 10, 2015, registered Aug 19, 2015 (40 days) · Other
- L•• F•••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 12, 2012, registered Oct 12, 2012 (30 days) · Other
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Jul 18, 2011, registered Jul 11, 2011 (-7 days) · Other
- E•••••• C•••••• M••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Dec 31, 2005, registered Dec 16, 2005 (-15 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address