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.
G••• D••••• L•••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jan 29, 2010 · Rockford, Il
- K•••• F•••••••• A•••• A•••••••• L••• independent RIAMar 8, 2007 to Feb 16, 2010 · Fitchburg, Wi
- I••••••••• A••••••• S••••••• I•• formerJan 20, 2005 to Feb 3, 2010 · L•••S Park, Il
- W•••• F•••• A••••••• wirehouseSep 9, 2003 to Feb 25, 2004 · Rockford, Il
- P•••••••• S••••••••• I••• BD affiliatedApr 16, 2003 to Aug 7, 2003 · Machesney Park, Il
- K•••• F•••••••• A•••• A•••••••• L••• independent RIAJul 15, 2002 to Mar 25, 2003 · Rockford, Il
- I••••••••• A••••••• S••••••• I•• formerJul 9, 2002 to Jan 28, 2003 · Rockford, Il
- K•••• F•••••••• A•••• A•••••••• L••• to R••••• W• B•••• • C•• I•••••••••left Feb 16, 2010, registered Jan 29, 2010 (-18 days) · Other
- I••••••••• A••••••• S••••••• I•• to K•••• F•••••••• A•••• A•••••••• L•••left Feb 3, 2010, registered Mar 8, 2007 (-1063 days) · Other
- W•••• F•••• A••••••• to I••••••••• A••••••• S••••••• I••left Feb 25, 2004, registered Jan 20, 2005 (330 days) · Other
- P•••••••• S••••••••• I••• to W•••• F•••• A•••••••left Aug 7, 2003, registered Sep 9, 2003 (33 days) · Other
- K•••• F•••••••• A•••• A•••••••• L••• to P•••••••• S••••••••• I•••left Mar 25, 2003, registered Apr 16, 2003 (22 days) · Other
- I••••••••• A••••••• S••••••• I•• to K•••• F•••••••• A•••• A•••••••• L•••left Jan 28, 2003, registered Jul 15, 2002 (-197 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address