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.
G•••••• S• F•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 30, 2018 · Wheaton, Il
- T• A•••• M••••••••• L•• independent RIANov 7, 2017 to Oct 9, 2018 · Naperville, Il
- C•••••• W••••• M••••••••• L•• independent RIANov 13, 2014 to Nov 16, 2017 · Naperville, Il
- L•••••• S••••• C•••••• M••••••••• L•• formerFeb 1, 2013 to Nov 6, 2014 · Western Springs, Il
- J••• M••••• S••••••••• L•• wirehouseFeb 26, 2004 to Aug 24, 2009 · Chicago, Il
- O••••••••• • C•• I••• BD affiliatedApr 1, 2003 to Feb 26, 2004 · Chicago, Il
- O••••••••• A•••• M••••••••• BD affiliatedApr 1, 2003 to Feb 26, 2004 · New York, Ny
- C••• W•••• M•••••• C•••• unclassifiedSep 11, 2001 to Apr 8, 2003 · Chicago, Il
- T• A•••• M••••••••• L•• to J••• M••••• S••••••••• L••left Oct 9, 2018, registered Nov 30, 2018 (52 days) · RIA to wirehouse
- C•••••• W••••• M••••••••• L•• to T• A•••• M••••••••• L••left Nov 16, 2017, registered Nov 7, 2017 (-9 days) · Other
- L•••••• S••••• C•••••• M••••••••• L•• to C•••••• W••••• M••••••••• L••left Nov 6, 2014, registered Nov 13, 2014 (7 days) · Other
- J••• M••••• S••••••••• L•• to L•••••• S••••• C•••••• M••••••••• L••left Aug 24, 2009, registered Feb 1, 2013 (1257 days) · Other
- O••••••••• A•••• M••••••••• to J••• M••••• S••••••••• L••left Feb 26, 2004, registered Feb 26, 2004 (0 days) · Other
- O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••left Feb 26, 2004, registered Apr 1, 2003 (-331 days) · Other
- C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••left Apr 8, 2003, registered Apr 1, 2003 (-7 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address