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••••• S•••••• wirehouse currentsince Dec 19, 2022 · Oak Brook, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 21, 2022 to Nov 21, 2022 · Chicago, Il
- F•••• T•••• S••••••••• I••• BD affiliatedMar 3, 2006 to Jun 1, 2022 · Rolling Meadows, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 18, 2005 to Feb 7, 2006 · Naperville, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 11, 2004 to May 16, 2005 · Schaumburg, Il
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Nov 21, 2022, registered Dec 19, 2022 (28 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- F•••• T•••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••left Jun 1, 2022, registered Jul 21, 2022 (50 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to F•••• T•••• S••••••••• I•••left Feb 7, 2006, registered Mar 3, 2006 (24 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left May 16, 2005, registered May 18, 2005 (2 days) · Other
- V••••• K• M••••• left C•••••••• G••••• M•••••• I••• for M••••• S•••••• (registered 2022-12-19)Nov 21, 2022 · Advisor changed firm · fact
- V••••• K• M••••• left F•••• T•••• S••••••••• I••• for C•••••••• G••••• M•••••• I••• (registered 2022-07-21)Jun 1, 2022 · Advisor changed firm · fact
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address