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.
P••• N• L•••••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Nov 30, 2023 · Indianapolis, In
- P•••• S••••••••• L•• no RAUMMar 3, 2020 to Jul 11, 2023 · Downers Grove, Il
- P•••• S••••••••• L•• no RAUMDec 21, 2011 to Feb 14, 2014 · Rosemont, Il
- A••••••• A••••••• S••••••• formerJun 30, 2006 to Dec 31, 2008 · River Forest, Il
- C••••••• I••••••••• I••• unclassifiedFeb 27, 2006 to Jun 30, 2006 · Darien, Il
- P•••• S••••••••• L•• no RAUMDec 13, 2000 to Jul 7, 2005 · Tinley Park, Il
- P•••• S••••••••• L•• to O••••••••• S••••••••• I•••left Jul 11, 2023, registered Nov 30, 2023 (142 days) · Affiliated broker-dealer or bank to another
- A••••••• A••••••• S••••••• to P•••• S••••••••• L••left Dec 31, 2008, registered Dec 21, 2011 (1085 days) · Other
- C••••••• I••••••••• I••• to A••••••• A••••••• S•••••••left Jun 30, 2006, registered Jun 30, 2006 (0 days) · Other
- P•••• S••••••••• L•• to C••••••• I••••••••• I•••left Jul 7, 2005, registered Feb 27, 2006 (235 days) · Other
- P••• N• L••••••• left P•••• S••••••••• L•• for O••••••••• S••••••••• I••• (registered 2023-11-30)Jul 11, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address