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.
G•••••••• D••• D•••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Naperville, Il
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Sep 1, 2023 · Naperville, Il
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJan 8, 2008 to Oct 31, 2008 · Downers Grove, Il
- C•••••• I••••••••• A••••••• C••••••• I••• independent RIAFeb 4, 2000 to Nov 15, 2007 · Downers Grove, Il
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
- C•••••• I••••••••• A••••••• C••••••• I••• to A••••••• G•••••• S••••••••• I•••••••••left Nov 15, 2007, registered Jan 8, 2008 (54 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address