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•••••••• M•••• W••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince May 4, 2016 · Chicago, Il
- R••••• W• B•••• • C•• I••••••••• mixed wealthApr 24, 2009 to May 11, 2016 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Apr 27, 2009 · Chicago, Il
- P••••••••• E••••• G••••• L•• unclassifiedApr 22, 2002 to Jul 1, 2003 · Chicago, Il
- R••••• W• B•••• • C•• I••••••••• to W•••••• B•••• • C•••••• L•••••left May 11, 2016, registered May 4, 2016 (-7 days) · Other
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Apr 27, 2009, registered Apr 24, 2009 (-3 days) · Other
- 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address