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.
M•••••• D•••• A••••••
- G••• L••• A•••••••• L•• independent RIA currentsince Sep 7, 2021 · Nashville, Tn
- L•••• F••• A••••••• S••••••• BD affiliatedDec 2, 2014 to Oct 7, 2021 · Naperville, Il
- A••••••••• F•••••••• S•••••••• L•• national BDOct 13, 2004 to Dec 8, 2014 · Downers Grove, Il
- E•••••• C•••••• M••••••••• L•• formerNov 15, 2001 to Aug 27, 2004 · Glen Ellyn, Il
- L•••• F••• A••••••• S••••••• to G••• L••• A•••••••• L••left Oct 7, 2021, registered Sep 7, 2021 (-30 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to L•••• F••• A••••••• S•••••••left Dec 8, 2014, registered Dec 2, 2014 (-6 days) · Other
- E•••••• C•••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 27, 2004, registered Oct 13, 2004 (47 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address