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.
J••••••• C••••••
- O••••••••• S••••••••• I••• BD affiliated currentsince May 4, 2017 · Lincolnshire, Il
- H•••••• T••••••• • K•••• L•• independent RIAMar 10, 2009 to May 2, 2017 · Chicago, Il
- S••••••• I••••••••• I••• formerApr 10, 2006 to Nov 19, 2008 · Rosemont, Il
- E•••••••• A•••••••• L•• national BDJul 7, 2000 to Jul 13, 2004 · Northbrook, Il
- H•••••• T••••••• • K•••• L•• to O••••••••• S••••••••• I•••left May 2, 2017, registered May 4, 2017 (2 days) · Other
- S••••••• I••••••••• I••• to H•••••• T••••••• • K•••• L••left Nov 19, 2008, registered Mar 10, 2009 (111 days) · Other
- E•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left Jul 13, 2004, registered Apr 10, 2006 (636 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