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.
K•••• A•• W•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Star City, In
- M•• F•••••••• S•••••••• I••• formerJan 7, 2016 to Mar 25, 2017 · Orland Park, Il
- O•••• F•• I••• formerOct 9, 2006 to Dec 28, 2015 · Monticello, In
- O•••• F•• I••• formerJan 5, 2006 to Jun 9, 2006 · Monticello, In
- A••••••••• F•••••••• S•••••••• L•• national BDOct 14, 2003 to Nov 2, 2005 · Gurnee, Il
- O•••• F•• I••• formerMay 3, 1999 to Oct 3, 2003 · Chicago, Il
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to M•• F•••••••• S•••••••• I•••left Dec 28, 2015, registered Jan 7, 2016 (10 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O•••• F•• I•••left Nov 2, 2005, registered Jan 5, 2006 (64 days) · Other
- O•••• F•• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 3, 2003, registered Oct 14, 2003 (11 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