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•••••• E••••• F•••••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Apr 29, 2016 · Waxhaw, Nc
- I••••••••• P••••••••• I••• formerSep 16, 2013 to Jul 31, 2015 · San Antonio, Tx
- M•••••••• F•••••••• P••••••••• independent RIAAug 10, 2012 to Jul 1, 2013 · Burr Ridge, Il
- W•••• F•••• A••••••• wirehouseJul 29, 2011 to Jul 25, 2012 · Milwaukee, Wi
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jul 29, 2011 · Hoffman Estates, Il
- N•••••• I••••••••• I••• unclassifiedJul 18, 2008 to Nov 13, 2009 · Wheaton, Il
- M•• F•••••••• S•••••••• I••• formerApr 24, 2006 to Apr 4, 2008 · Buffalo Grove, Il
- I••••••••• P••••••••• I••• to A••••••• F•••••••• A•••••••• L••left Jul 31, 2015, registered Apr 29, 2016 (273 days) · Other
- M•••••••• F•••••••• P••••••••• to I••••••••• P••••••••• I•••left Jul 1, 2013, registered Sep 16, 2013 (77 days) · Other
- W•••• F•••• A••••••• to M•••••••• F•••••••• P•••••••••left Jul 25, 2012, registered Aug 10, 2012 (16 days) · Other
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Jul 29, 2011, registered Jul 29, 2011 (0 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to N•••••• I••••••••• I•••left Apr 4, 2008, registered Jul 18, 2008 (105 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address