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.
T•• M•••••• P••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 19, 2018 · Glen Ellyn, Il
- C••••• A•••••• N••••••• L•• formerMay 17, 2013 to Oct 19, 2018 · Glen Ellyn, Il
- C•••• C•••••• S••••••••• L••• formerFeb 19, 2010 to May 21, 2013 · Glen Ellyn, Il
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Oct 19, 2018, registered Oct 19, 2018 (0 days) · corporate re-registration, not a move
- C•••• C•••••• S••••••••• L••• to C••••• A•••••• N••••••• L••left May 21, 2013, registered May 17, 2013 (-4 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