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.
L•••• M•••• F••••
- P••••••••• W••••• A•••••••• L•• independent RIA currentsince Oct 13, 2017 · Frankfort, Il
- P••••••••• W••••• A•••••••• L•• independent RIAOct 13, 2017 to Dec 31, 2017 · Frankfort, Il
- L•• F•••••••• L•• BD affiliatedFeb 3, 2017 to Sep 8, 2017 · Oak Lawn, Il
- O•••• I••••••••• I••• BD affiliatedMay 4, 2009 to Feb 7, 2017 · Oak Lawn, Il
- N••• F•••••••• G••••• I••• formerJun 25, 2007 to May 4, 2009 · Hickory Hills, Il
- V••••• A•••• M••••••••• I•• unclassifiedFeb 28, 2007 to Jun 22, 2007 · South Holland, Il
- L•••••• F•••••••• S•••••••• I••• unclassifiedOct 19, 2001 to Jan 26, 2007 · Chicago, Il
- L•• F•••••••• L•• to P••••••••• W••••• A•••••••• L••left Sep 8, 2017, registered Oct 13, 2017 (35 days) · Other
- O•••• I••••••••• I••• to L•• F•••••••• L••left Feb 7, 2017, registered Feb 3, 2017 (-4 days) · Other · moved with a team
- N••• F•••••••• G••••• I••• to O•••• I••••••••• I•••left May 4, 2009, registered May 4, 2009 (0 days) · Other
- V••••• A•••• M••••••••• I•• to N••• F•••••••• G••••• I•••left Jun 22, 2007, registered Jun 25, 2007 (3 days) · Other
- L•••••• F•••••••• S•••••••• I••• to V••••• A•••• M••••••••• I••left Jan 26, 2007, registered Feb 28, 2007 (33 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address