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•• T• R•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Lake Bluff, Il
- S••••••••• A•••••• A•••••••• I••• formerSep 23, 2016 to Sep 8, 2020 · Lake Bluff, Il
- W••• S••••• F•••••••• G••••• I•• formerAug 26, 2015 to Sep 23, 2016 · Lake Bluff, Il
- V•••••••• L•• formerMar 27, 2014 to Nov 16, 2015 · Lake Forest, Il
- H•••••••• A•••••••• L•• BD affiliatedOct 6, 2011 to Dec 20, 2013 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 10, 2011 · Orland Park, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 1, 1999 to Jun 1, 2009 · San Francisco, Ca
- S••••••••• A•••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 8, 2020, registered Mar 21, 2024 (1290 days) · Affiliated broker-dealer or bank to another
- W••• S••••• F•••••••• G••••• I•• to S••••••••• A•••••• A•••••••• I•••left Sep 23, 2016, registered Sep 23, 2016 (0 days) · corporate re-registration, not a move
- V•••••••• L•• to W••• S••••• F•••••••• G••••• I••left Nov 16, 2015, registered Aug 26, 2015 (-82 days) · Other
- H•••••••• A•••••••• L•• to V•••••••• L••left Dec 20, 2013, registered Mar 27, 2014 (97 days) · Other
- M••••• S•••••• to H•••••••• A•••••••• L••left Oct 10, 2011, registered Oct 6, 2011 (-4 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address