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.
- C••••• P••••••• L•• independent RIA currentsince Sep 30, 2021 · Chicago, Il
- W••••• S•••••••• formerNov 15, 2018 to Jul 2, 2020 · Lemont, Il
- L•• F•••••••• L•• BD affiliatedJan 13, 2006 to Jul 9, 2014 · Downers Grove, Il
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 24, 2006 · Naperville, Il
- P••••••••• E••••• G••••• L•• unclassifiedJan 4, 1998 to Jul 1, 2003 · Oakbrook Terrace, Il
- W••••• S•••••••• to C••••• P••••••• L••left Jul 2, 2020, registered Sep 30, 2021 (455 days) · Other
- L•• F•••••••• L•• to W••••• S••••••••left Jul 9, 2014, registered Nov 15, 2018 (1590 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 24, 2006, registered Jan 13, 2006 (-11 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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