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.
C•••••• A•••••• L••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince May 13, 2008 · Weehawken, Nj
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to May 22, 2008 · Chicago, Il
- P••••••••• E••••• G••••• L•• unclassifiedOct 16, 1998 to Jul 1, 2003 · Oakbrook Terrace, Il
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left May 22, 2008, registered May 13, 2008 (-9 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address