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.
T••••• G••••• B••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Lisle, Il
- M•• F•••••••• S•••••••• I••• formerMar 16, 2015 to Mar 25, 2017 · Rockford, Il
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAOct 18, 2012 to Jan 27, 2015 · Crystal Lake, Il
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerSep 24, 2009 to Nov 2, 2012 · Youngstown, Oh
- L•• F•••••••• L•• BD affiliatedSep 9, 2009 to Sep 30, 2009 · Schaumburg, Il
- W••••••••• F•••••••• G••••• I••• unclassifiedJul 25, 2005 to Sep 16, 2009 · Bloomingdale, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 7, 2001 to Jun 21, 2004 · Northbrook, Il
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to M•• F•••••••• S•••••••• I•••left Jan 27, 2015, registered Mar 16, 2015 (48 days) · Other
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Nov 2, 2012, registered Oct 18, 2012 (-15 days) · Other
- L•• F•••••••• L•• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Sep 30, 2009, registered Sep 24, 2009 (-6 days) · Other
- W••••••••• F•••••••• G••••• I••• to L•• F•••••••• L••left Sep 16, 2009, registered Sep 9, 2009 (-7 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to W••••••••• F•••••••• G••••• I•••left Jun 21, 2004, registered Jul 25, 2005 (399 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address