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.
- M••••• S•••••• wirehouse currentsince Aug 6, 2024 · Chicago, Il
- N•••••• G•••• C••••••••• L•• institutionalJan 4, 2018 to Jul 2, 2024 · Chicago, Il
- N•••••• G•••• S••••••••• I••• formerJun 13, 2014 to Dec 22, 2017 · Evanston, Il
- M•••••••• A••••••• formerSep 1, 2011 to Jun 5, 2014 · Irvine, Ca
- N•••••• G•••• C••••••••• L•• to M••••• S••••••left Jul 2, 2024, registered Aug 6, 2024 (35 days) · Other
- N•••••• G•••• S••••••••• I••• to N•••••• G•••• C••••••••• L••left Dec 22, 2017, registered Jan 4, 2018 (13 days) · channel change inside one enterprise, not a move
- M•••••••• A••••••• to N•••••• G•••• S••••••••• I•••left Jun 5, 2014, registered Jun 13, 2014 (8 days) · Other
- J••• M• D•••• left N•••••• G•••• C••••••••• L•• for M••••• S•••••• (registered 2024-08-06)Jul 2, 2024 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address