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•••••• A•••••• N••
- L•• F•••••••• L•• BD affiliated currentsince Mar 24, 2021 · Chicago, Il
- B•• H••••• F•••••••• A•••••••• I•• formerJul 22, 2014 to Mar 24, 2021 · Schaumburg, Il
- U••• B•••••• I••••••••• I••• formerJan 4, 2012 to Jul 21, 2014 · Glen Ellyn, Il
- F•••• T•••• S••••••••• I••• BD affiliatedAug 21, 2009 to Jan 6, 2012 · Lombard, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 9, 2007 to Aug 13, 2009 · Wheaton, Il
- F•••• T•••• S••••••••• I••• BD affiliatedApr 6, 2006 to Nov 30, 2007 · Geneva, Il
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Jul 21, 2014, registered Jul 22, 2014 (1 days) · Other
- F•••• T•••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Jan 6, 2012, registered Jan 4, 2012 (-2 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Aug 13, 2009, registered Aug 21, 2009 (8 days) · Other
- F•••• T•••• S••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 30, 2007, registered Nov 9, 2007 (-21 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address