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••• M••••• M•••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Jul 18, 2014 · Wheaton, Il
- S•• BD affiliatedOct 29, 2009 to Jul 14, 2014 · Sycamore, Il
- I•• W••••• M••••••••• I••• BD affiliatedJun 27, 2006 to Mar 2, 2009 · Sycamore, Il
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedAug 23, 2001 to Jul 10, 2006 · Sycamore, Il
- S•• to B••••••••• C•••••• M••••••••• L••left Jul 14, 2014, registered Jul 18, 2014 (4 days) · Other
- I•• W••••• M••••••••• I••• to S••left Mar 2, 2009, registered Oct 29, 2009 (241 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to I•• W••••• M••••••••• I•••left Jul 10, 2006, registered Jun 27, 2006 (-13 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
- Independent wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address