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.
R••••• A••• W•••••
- S•••••••• A•••••••• L•• BD affiliated currentsince Dec 21, 2022 · Miami, Fl
- W•••• E••••• G••••• I••• BD affiliatedApr 1, 2009 to Oct 3, 2018 · Schaumburg, Il
- R•••• A••••••• S•••••••• I••• independent RIANov 20, 2006 to Oct 19, 2007 · Glenview, Il
- W•••• E••••• G••••• I••• to S•••••••• A•••••••• L••left Oct 3, 2018, registered Dec 21, 2022 (1540 days) · Affiliated broker-dealer or bank to another
- R•••• A••••••• S•••••••• I••• to W•••• E••••• G••••• I•••left Oct 19, 2007, registered Apr 1, 2009 (530 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