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.
R•••••• P•••• C••••••
- M•• S••••••••• L•• no RAUM currentsince Apr 1, 2020 · Schaumburg, Il
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to Jul 1, 2020 · Chicago, Il
- N•• A•••••• S•••••••• L•• formerSep 24, 2014 to Sep 22, 2016 · Schaumburg, Il
- F•••••••• T••••••• I••• formerJan 8, 2010 to Sep 2, 2014 · San Rafael, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Jan 22, 2010 · Schaumburg, Il
- W••••••••• F•••••••• G••••• I••• unclassifiedJul 14, 2008 to Sep 8, 2009 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 28, 2004 to Sep 17, 2004 · Schaumburg, Il
- W•••• F•••• A••••••• wirehouseJun 6, 2003 to May 10, 2004 · Itasca, Il
- K••••• A••••••• S•••••••• L•• to M•• S••••••••• L••left Jul 1, 2020, registered Apr 1, 2020 (-91 days) · Other · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
- F•••••••• T••••••• I••• to N•• A•••••• S•••••••• L••left Sep 2, 2014, registered Sep 24, 2014 (22 days) · Other
- L•• F•••••••• L•• to F•••••••• T••••••• I•••left Jan 22, 2010, registered Jan 8, 2010 (-14 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••••• F•••••••• G••••• I•••left Sep 17, 2004, registered Jul 14, 2008 (1396 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 10, 2004, registered May 28, 2004 (18 days) · Wirehouse to wirehouse
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
- No RAUM reportedderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address