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.
S••••• J••• D•••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Jul 1, 2014 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedJun 23, 2017 to Jun 26, 2017 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jun 30, 2014 · Chicago, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 24, 2008 to Oct 23, 2009 · Chicago, Il
- L•••••• F•••••••• S•••••••• I••• unclassifiedMay 28, 2003 to Oct 24, 2008 · Oaklawn, Il
- P•••• S••••••••• L•• no RAUMNov 30, 1999 to Jun 4, 2003 · Tinley A, Il
- L•• F•••••••• L•• to no registered destinationleft Jun 26, 2017 · Departure, no registered destination
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I•• W••••• M••••••••• L••left Jun 30, 2014, registered Jul 1, 2014 (1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- L•••••• F•••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 24, 2008, registered Oct 24, 2008 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to L•••••• F•••••••• S•••••••• I•••left Jun 4, 2003, registered May 28, 2003 (-7 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