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•••••• O•••••• G•••••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 26, 2021 · Deerfield, Il
- R••••• W• B•••• • C•• I••••••••• mixed wealthAug 31, 2011 to Mar 17, 2021 · Chicago, Il
- O•••••• I••••••••• L•• unclassifiedOct 27, 2009 to Dec 31, 2011 · Lake Forest, Il
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2008 to Oct 6, 2009 · Chicago, Il
- R••••• W• B•••• • C•• I••••••••• to W•••• F•••• A•••••••left Mar 17, 2021, registered Feb 26, 2021 (-19 days) · RIA to wirehouse
- O•••••• I••••••••• L•• to R••••• W• B•••• • C•• I•••••••••left Dec 31, 2011, registered Aug 31, 2011 (-122 days) · Other
- U•• F•••••••• S••••••• I••• to O•••••• I••••••••• L••left Oct 6, 2009, registered Oct 27, 2009 (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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address