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••••• S•••••• wirehouse currentsince Nov 4, 2022 · Gulf Shores, Al
- F•••• T•••• S••••••••• I••• BD affiliatedMay 19, 2008 to Nov 7, 2022 · Hampshire, Il
- N•••••• I••••••••• I••• unclassifiedOct 18, 2005 to May 1, 2008 · Countryside, Il
- E•••••• C•••••• M••••••••• L•• formerMay 23, 2002 to Oct 7, 2005 · Barrington, Il
- F•••• T•••• S••••••••• I••• to M••••• S••••••left Nov 7, 2022, registered Nov 4, 2022 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- N•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••left May 1, 2008, registered May 19, 2008 (18 days) · Other
- E•••••• C•••••• M••••••••• L•• to N•••••• I••••••••• I•••left Oct 7, 2005, registered Oct 18, 2005 (11 days) · Other
- L•••• R••• D•••• left F•••• T•••• S••••••••• I••• for M••••• S•••••• (registered 2022-11-04)Nov 7, 2022 · 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