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••• S•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Warrenville, Il
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · Warrenville, Il
- Q•••••• A•••• M••••••••• I••• formerJan 15, 2014 to Mar 1, 2019 · Minneapolis, Mn
- I•••••••• C•••••• A••••••• formerApr 20, 2012 to Dec 2, 2013 · Tustin, Ca
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- I•••••••• C•••••• A••••••• to Q•••••• A•••• M••••••••• I•••left Dec 2, 2013, registered Jan 15, 2014 (44 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address