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.
T••••• S•••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Jun 29, 2012 · St Petersburg, Fl
- A••••••••• I••••••••• S•••••••• I••• independent RIASep 28, 2004 to Jul 26, 2012 · Crystal Lake, Il
- M••••• S•••••• D• I••• unclassifiedApr 15, 1999 to Dec 10, 2002 · Chicago, Il
- A••••••••• I••••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Jul 26, 2012, registered Jun 29, 2012 (-27 days) · Other
- M••••• S•••••• D• I••• to A••••••••• I••••••••• S•••••••• I•••left Dec 10, 2002, registered Sep 28, 2004 (658 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
- 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