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••••• J• B••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 16, 2018 · Chicago, Il
- B• C• Z•••••• A•• C•••••• formerSep 30, 2009 to Mar 16, 2018 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJul 13, 2007 to Jan 3, 2008 · Munster, In
- B• C• Z•••••• A•• C•••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 16, 2018, registered Mar 16, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B• C• Z•••••• A•• C••••••left Jan 3, 2008, registered Sep 30, 2009 (636 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
- 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