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.
J••••••• A•• M•••••••
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealth currentsince Jan 24, 2023 · Chicago, Il
- Q•••••• P•••••• W•••••• L•• independent RIAApr 9, 2020 to Dec 6, 2022 · Tampa, Fl
- U•• F•••••••• S••••••• I••• wirehouseMay 1, 2013 to Apr 22, 2020 · Northbrook, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthApr 11, 2006 to May 27, 2008 · Highland Park, Il
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Apr 5, 2006 · Deerfield, Il
- B••• O•• S••••••••• C••••••••• unclassifiedApr 12, 2005 to Jul 6, 2005 · Deerfield, Il
- W•••• F•••• A••••••• wirehouseJan 11, 2005 to Jan 24, 2005 · Deefield, Il
- Q•••••• P•••••• W•••••• L•• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Dec 6, 2022, registered Jan 24, 2023 (49 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to Q•••••• P•••••• W•••••• L••left Apr 22, 2020, registered Apr 9, 2020 (-13 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• F•••••••• I••••••••• M••••••••• I••• to U•• F•••••••• S••••••• I•••left May 27, 2008, registered May 1, 2013 (1800 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Apr 5, 2006, registered Apr 11, 2006 (6 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• O•• S••••••••• C•••••••••left Jan 24, 2005, registered Apr 12, 2005 (78 days) · Other
- J••••••• A•• M••••••• left Q•••••• P•••••• W•••••• L•• for M•••••• F•••••••• I••••••••• M••••••••• I••• (registered 2023-01-24)Dec 6, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address