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.
W•••••• E••••• D•••••••
- O•• F••••• A•••••••• L•• independent RIA currentsince Oct 28, 2019 · Chicago, Il
- Q•• E••••• I•••••••• L•• formerOct 20, 2017 to Dec 3, 2019 · Naperville, Il
- C••• C••••••• L•• independent RIAJan 19, 2017 to Aug 1, 2017 · Chicago, Il
- P••••••• I••••• A•••• M••••••••• unclassifiedSep 13, 2016 to Dec 31, 2016 · Naperville, Il
- C••• C••••••• L•• independent RIAJan 7, 2015 to May 13, 2015 · Chicago, Il
- Q•• E••••• I•••••••• L•• to O•• F••••• A•••••••• L••left Dec 3, 2019, registered Oct 28, 2019 (-36 days) · RIA to RIA
- C••• C••••••• L•• to Q•• E••••• I•••••••• L••left Aug 1, 2017, registered Oct 20, 2017 (80 days) · Other
- P••••••• I••••• A•••• M••••••••• to C••• C••••••• L••left Dec 31, 2016, registered Jan 19, 2017 (19 days) · Other
- C••• C••••••• L•• to P••••••• I••••• A•••• M•••••••••left May 13, 2015, registered Sep 13, 2016 (489 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address