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•••• L• M•••• T•••••
- E•••••••• W••••• A••••••• L•• state registered currentsince Oct 19, 2022 · Wheaton, Il
- C•••••• A••••••• BD affiliatedNov 23, 2020 to Oct 11, 2022 · Lombard, Il
- L•••••• I••••••••• independent RIANov 23, 2020 to Oct 11, 2022 · Lombard, Il
- C•••••• A••••••• to L•••••• I•••••••••left Oct 11, 2022, registered Nov 23, 2020 (-687 days) · Affiliated broker-dealer or bank to another
- L•••••• I••••••••• to E•••••••• W••••• A••••••• L••left Oct 11, 2022, registered Oct 19, 2022 (8 days) · RIA to a state-registered adviser
- A•••• L• M•••• T••••• left C•••••• A••••••• for L•••••• I••••••••• (registered 2020-11-23)Oct 11, 2022 · Advisor changed firm · fact
- A•••• L• M•••• T••••• left L•••••• I••••••••• for E•••••••• W••••• A••••••• L•• (registered 2022-10-19)Oct 11, 2022 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address