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.
A••••• A•••• K•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 7, 2019 · Beaverton, Or
- I••••••••• A••••••• C••• formerFeb 19, 2013 to Oct 20, 2018 · Rosemont, Il
- A••••• F•••••••• P•••••••• I••• independent RIAJul 9, 2010 to Nov 30, 2012 · Arlington Heights, Il
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Jul 12, 2010 · Elgin, Il
- W••••••••• F•••••••• G••••• I••• unclassifiedNov 1, 2002 to Sep 8, 2009 · Boston, Ma
- I••••••••• A••••••• C••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 20, 2018, registered Jan 7, 2019 (79 days) · corporate re-registration, not a move
- A••••• F•••••••• P•••••••• I••• to I••••••••• A••••••• C•••left Nov 30, 2012, registered Feb 19, 2013 (81 days) · Other
- L•• F•••••••• L•• to A••••• F•••••••• P•••••••• I•••left Jul 12, 2010, registered Jul 9, 2010 (-3 days) · Other
- W••••••••• F•••••••• G••••• I••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address