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.
M•••••• C••••••••• W•••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Jul 29, 2022 · Grayslake, Il
- R•••••• J•••• • A••••••••• I••• national BDApr 12, 2011 to Jan 20, 2012 · Chicago, Il
- H••• B••••• C•••••• M••••••••• I••• unclassifiedSep 12, 2005 to Dec 31, 2011 · Chicago, Il
- M••••• S•••••• D• I••• unclassifiedAug 11, 2000 to Aug 29, 2005 · Chicago, Il
- R•••••• J•••• • A••••••••• I••• to B• R•••• W••••• A•••••••• I•••left Jan 20, 2012, registered Jul 29, 2022 (3843 days) · Affiliated broker-dealer or bank to another
- H••• B••••• C•••••• M••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Dec 31, 2011, registered Apr 12, 2011 (-263 days) · Other
- M••••• S•••••• D• I••• to H••• B••••• C•••••• M••••••••• I•••left Aug 29, 2005, registered Sep 12, 2005 (14 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