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.
N•••• Z••• H•••••
- F•••• F•••••••• M••••••••• L• independent RIA currentsince Aug 8, 2018 · Lombard, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 4, 2012 to Aug 7, 2018 · Lincolnwood, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 13, 2006 to Dec 16, 2011 · Schaumburg, Il
- L•••••• F•••••••• S•••••••• I••• unclassifiedMar 17, 2003 to Nov 29, 2005 · Chicago, Il
- C••••• I••••••••• A••••••• L•• to F•••• F•••••••• M••••••••• L•left Aug 7, 2018, registered Aug 8, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
- L•••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 29, 2005, registered Jan 13, 2006 (45 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address