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•••••• H•••
- M••••• S•••••• wirehouse currentsince May 24, 2023 · Oak Brook, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 11, 2016 to Jun 30, 2020 · Chicago, Il
- H••••• • C••• L•• otherNov 15, 2007 to Dec 2, 2015 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedApr 4, 2002 to Apr 30, 2004 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jun 30, 2020, registered May 24, 2023 (1058 days) · Wirehouse to wirehouse
- H••••• • C••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 2, 2015, registered Jul 11, 2016 (222 days) · Other
- B••• O•• S••••••••• C••••••••• to H••••• • C••• L••left Apr 30, 2004, registered Nov 15, 2007 (1294 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address