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••••• S•••••• wirehouse currentsince Sep 5, 2023 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerMar 18, 2021 to Sep 5, 2023 · Chicago, Il
- N••••••• T•••• S••••••••• I•• BD affiliatedFeb 26, 2007 to Dec 15, 2020 · Park Ridge, Il
- M•••••• F••••••••• I••• unclassifiedJul 25, 2005 to Feb 27, 2007 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedNov 21, 2002 to Jul 12, 2005 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- N••••••• T•••• S••••••••• I•• to E•••••• C•••••• M••••••••• L••left Dec 15, 2020, registered Mar 18, 2021 (93 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• F••••••••• I••• to N••••••• T•••• S••••••••• I••left Feb 27, 2007, registered Feb 26, 2007 (-1 days) · Other
- B••• O•• S••••••••• C••••••••• to M•••••• F••••••••• I•••left Jul 12, 2005, registered Jul 25, 2005 (13 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address