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.
A••••• E•••• S•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 17, 2012 · Wilmette, Il
- E••••• F•••••••• G••••• I••• unclassifiedOct 19, 2011 to Aug 17, 2012 · Lincolnshire, Il
- N•••• S•••• C••••••• L•• state registeredAug 23, 2010 to Jun 29, 2011 · New Lenox, Il
- A••••••••• F•••••••• S•••••••• L•• national BDApr 17, 2003 to Apr 20, 2005 · W. Conshohocken, Pa
- E••••• F•••••••• G••••• I••• to A••••• A•• P••••••• S•••••••left Aug 17, 2012, registered Sep 17, 2012 (31 days) · Other
- N•••• S•••• C••••••• L•• to E••••• F•••••••• G••••• I•••left Jun 29, 2011, registered Oct 19, 2011 (112 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N•••• S•••• C••••••• L••left Apr 20, 2005, registered Aug 23, 2010 (1951 days) · Affiliated broker-dealer or bank to a state-registered adviser
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address