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••••••• G•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 8, 2014 · Lyons, Il
- E•••• N••••••• S••••••••• I••• formerFeb 17, 2010 to Aug 11, 2014 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedMar 4, 2008 to Feb 17, 2010 · Chicago, Il
- I••• S••••••••• I••• unclassifiedJul 21, 2003 to Mar 4, 2008 · Chicago, Il
- L•••••• F•••••••• S•••••••• I••• unclassifiedApr 25, 2003 to Jul 1, 2003 · Chicago, Il
- I••• S••••••••• I••• unclassifiedMar 31, 2003 to Apr 24, 2003 · Chicago, Il
- I••••• F•••••••• C••••••••• formerApr 26, 2002 to Apr 2, 2003 · Chicago, Il
- E•••• N••••••• S••••••••• I••• to L•• F•••••••• L••left Aug 11, 2014, registered Aug 8, 2014 (-3 days) · Other
- L•• F•••••••• L•• to E•••• N••••••• S••••••••• I•••left Feb 17, 2010, registered Feb 17, 2010 (0 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left Mar 4, 2008, registered Mar 4, 2008 (0 days) · corporate re-registration, not a move
- L•••••• F•••••••• S•••••••• I••• to I••• S••••••••• I•••left Jul 1, 2003, registered Jul 21, 2003 (20 days) · Other
- I••• S••••••••• I••• to L•••••• F•••••••• S•••••••• I•••left Apr 24, 2003, registered Apr 25, 2003 (1 days) · Other
- I••••• F•••••••• C••••••••• to I••• S••••••••• I•••left Apr 2, 2003, registered Mar 31, 2003 (-2 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