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.
E•••• L••• S••••••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Sep 19, 2023 · Columbus, Oh
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 16, 2016 to Oct 30, 2018 · Lisle, Il
- M••••••••• R••••••••• BD affiliatedFeb 22, 2011 to May 23, 2016 · Washington, Dc
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJun 29, 2009 to Nov 5, 2009 · Mokena, Il
- A•••••• A••••••• S••••••• formerMar 4, 2005 to Jul 2, 2007 · Hazel Crest, Il
- B••• O•• S••••••••• C••••••••• unclassifiedJun 25, 2003 to Jan 25, 2005 · Oak Lawn , Il
- W•••••• • R••• formerApr 18, 2000 to Jul 1, 2003 · Evergreen Park, Il
- V••• F•••••••• A•••••••• I••• to N••••••••• I••••••••• A•••••••• L••left Oct 30, 2018, registered Sep 19, 2023 (1785 days) · Affiliated broker-dealer or bank to another
- M••••••••• R••••••••• to V••• F•••••••• A•••••••• I•••left May 23, 2016, registered Jun 16, 2016 (24 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to M••••••••• R•••••••••left Nov 5, 2009, registered Feb 22, 2011 (474 days) · Other
- A•••••• A••••••• S••••••• to M••••• O• O•••• I••••••• S•••••••• I•••left Jul 2, 2007, registered Jun 29, 2009 (728 days) · Other
- B••• O•• S••••••••• C••••••••• to A•••••• A••••••• S•••••••left Jan 25, 2005, registered Mar 4, 2005 (38 days) · Other
- W•••••• • R••• to B••• O•• S••••••••• C•••••••••left Jul 1, 2003, registered Jun 25, 2003 (-6 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address