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.
L•••• J•• P•••••••••
- A••••••••• I••••••••• S•••••••• I••• independent RIA currentsince Oct 1, 2021 · St. Louis Park, Mn
- U••• B•••••• I••••••••• I••• formerJun 21, 2021 to Oct 8, 2021 · Naperville, Il
- T• A••••••••• I••• formerJan 14, 2015 to Jan 11, 2021 · Oak Brook, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 14, 2015 to Dec 31, 2020 · Oak Brook, Il
- A••••••••• I••••••••• S•••••••• I••• independent RIAAug 12, 2013 to Dec 22, 2014 · Aurora, Il
- P•• W••••• M••••••••• BD affiliatedJul 15, 2010 to Aug 7, 2013 · Chicago, Il
- F•••• T•••• S••••••••• I••• BD affiliatedNov 26, 2008 to Jul 9, 2010 · Chicago, Il
- U••• B•••••• I••••••••• I••• to A••••••••• I••••••••• S•••••••• I•••left Oct 8, 2021, registered Oct 1, 2021 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••• to U••• B•••••• I••••••••• I•••left Jan 11, 2021, registered Jun 21, 2021 (161 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jan 14, 2015 (-2178 days) · corporate re-registration, not a move
- A••••••••• I••••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 22, 2014, registered Jan 14, 2015 (23 days) · Other
- P•• W••••• M••••••••• to A••••••••• I••••••••• S•••••••• I•••left Aug 7, 2013, registered Aug 12, 2013 (5 days) · Other
- F•••• T•••• S••••••••• I••• to P•• W••••• M•••••••••left Jul 9, 2010, registered Jul 15, 2010 (6 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