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 Mar 21, 2022 · Barrington, Il
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 18, 2020 to Feb 23, 2022 · Highland Park, Il
- B•••••••• C•••••• M••••••••• L•• asset managerOct 3, 2019 to Dec 31, 2019 · Hawthorn Woods, Il
- F•••• T•••• A••••••• L• asset managerJan 18, 2012 to Jan 25, 2019 · Wheaton, Il
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Feb 23, 2022, registered Mar 21, 2022 (26 days) · Affiliated broker-dealer or bank to wirehouse
- B•••••••• C•••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 31, 2019, registered Feb 18, 2020 (49 days) · Other
- F•••• T•••• A••••••• L• to B•••••••• C•••••• M••••••••• L••left Jan 25, 2019, registered Oct 3, 2019 (251 days) · Other
- C•••••• L• R••• left A••••••••• F•••••••• S•••••••• L•• for M••••• S•••••• (registered 2022-03-21)Feb 23, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address