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.
R•••• M••••• V••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 31, 2016 · La Grange Park,, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 21, 2016 · Chicago, Il
- M••••• S•••••• • C•• L•• unclassifiedFeb 20, 2009 to Jun 1, 2009 · Chicago, Il
- L••••••• A•••• M••••••••• L•• asset managerMay 23, 2005 to Feb 27, 2009 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Dec 13, 2004 · Chicago, Il
- P••••••• L•• unclassifiedOct 18, 2001 to Jan 17, 2003 · Chicago, Il
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Jun 21, 2016, registered May 31, 2016 (-21 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••••••• A•••• M••••••••• L•• to M••••• S•••••• • C•• L••left Feb 27, 2009, registered Feb 20, 2009 (-7 days) · Other
- C••••• S••••• S••••••••• •••• L•• to L••••••• A•••• M••••••••• L••left Dec 13, 2004, registered May 23, 2005 (161 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address