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.
S••••••• A•• S••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 12, 2024 · Naperville, Il
- U••• B•••••• I••••••••• I••• formerMay 1, 2018 to Sep 13, 2024 · Glen Ellyn, Il
- P•• W••••• M••••••••• BD affiliatedJul 5, 2016 to May 2, 2018 · Lombard, Il
- C••••••••• F•••••••• N•••••• national BDJan 5, 2016 to Jun 6, 2016 · Oakbrook, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Dec 21, 2015 · Chicago, Il
- C••••• I••••••••• S••••••• L•• formerDec 6, 2011 to Jan 21, 2014 · Chicago, Il
- V••••• A•••• M••••••••• I•• unclassifiedApr 22, 2003 to Sep 3, 2009 · Chicago, Il
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Sep 13, 2024, registered Sep 12, 2024 (-1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••left May 2, 2018, registered May 1, 2018 (-1 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to P•• W••••• M•••••••••left Jun 6, 2016, registered Jul 5, 2016 (29 days) · Other
- C••••• I••••••••• A••••••• L•• to C••••••••• F•••••••• N••••••left Dec 21, 2015, registered Jan 5, 2016 (15 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- V••••• A•••• M••••••••• I•• to C••••• I••••••••• S••••••• L••left Sep 3, 2009, registered Dec 6, 2011 (824 days) · Other
- S••••••• A•• S•••• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2024-09-12)Sep 13, 2024 · 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address