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•••••• L•• P•••••••
- I••••••••• F•••••••• A••••••• independent RIA currentsince Feb 26, 2003 · New Lenox, Il
- G•• S••••••••• I••• BD affiliatedJun 12, 2006 to Dec 31, 2011 · Oak Brook, Il
- P•• A•••• M••••••••• I•• unclassifiedJan 4, 2005 to Mar 9, 2005 · Joliet, Il
- P•• S••••••••• C••••••••• unclassifiedMay 6, 2003 to Dec 31, 2004 · Joliet, Il
- G•• S••••••••• I••• to no registered destinationleft Dec 31, 2011 · Departure, no registered destination
- P•• A•••• M••••••••• I•• to G•• S••••••••• I•••left Mar 9, 2005, registered Jun 12, 2006 (460 days) · Other
- P•• S••••••••• C••••••••• to P•• A•••• M••••••••• I••left Dec 31, 2004, registered Jan 4, 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
- Independent wealth managerderived
- Years in industry
- 52derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address