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•••••• K••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 2, 2009 · Chicago, Il
- B•• F•••••••• A••••••• BD affiliatedJan 15, 2009 to Oct 29, 2009 · Overland Park, Ks
- B•• H••••• F•••••••• A•••••••• I•• formerSep 27, 2006 to Aug 14, 2008 · Chicago, Il
- L•••••• F•••••••• S•••••••• I••• unclassifiedOct 15, 2001 to Feb 2, 2004 · Chicago, Il
- B•• F•••••••• A••••••• to J••• M••••• S••••••••• L••left Oct 29, 2009, registered Nov 2, 2009 (4 days) · Other
- B•• H••••• F•••••••• A•••••••• I•• to B•• F•••••••• A•••••••left Aug 14, 2008, registered Jan 15, 2009 (154 days) · Other
- L•••••• F•••••••• S•••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Feb 2, 2004, registered Sep 27, 2006 (968 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