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.
K••••• L•• H••••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Dec 18, 2019 · Denver, Co
- E•••••• F•••••••• S•••••••• L•• formerSep 9, 2010 to Jan 3, 2014 · Fairfax, Va
- W•••• E••••• G••••• I••• BD affiliatedMar 24, 2008 to Aug 12, 2010 · Schaumburg, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 7, 2005 to Mar 17, 2008 · Skokie, Il
- E•••••• F•••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jan 3, 2014, registered Dec 18, 2019 (2175 days) · Other
- W•••• E••••• G••••• I••• to E•••••• F•••••••• S•••••••• L••left Aug 12, 2010, registered Sep 9, 2010 (28 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to W•••• E••••• G••••• I•••left Mar 17, 2008, registered Mar 24, 2008 (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
- No RAUM reportedderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address