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.
E••• M••••• F•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 8, 2017 · Lake Bluff, Il
- B•• H••••• F•••••••• A•••••••• I•• formerJul 10, 2013 to Aug 15, 2017 · Lake Forest, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Sep 1, 2011 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedAug 27, 2008 to Oct 1, 2008 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 26, 2005 to Aug 7, 2008 · Rancho Bernardo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 29, 1999 to Aug 30, 2005 · San Diego, Ca
- B•• H••••• F•••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 15, 2017, registered Aug 8, 2017 (-7 days) · Other
- J••• M••••• S••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Sep 1, 2011, registered Jul 10, 2013 (678 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• I•••left Aug 7, 2008, registered Aug 27, 2008 (20 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Aug 30, 2005, registered Aug 26, 2005 (-4 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address