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.
A•••• T••••• C••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 19, 2019 · Oak Brook, Il
- W•••• F•••• A••••••• wirehouseOct 25, 2016 to Jun 19, 2019 · Oak Brook, Il
- M•••••• • N••••• A•••••••• L•• mixed wealthMar 6, 2015 to Oct 17, 2016 · Downers Grove, Il
- C•••••• A••••••• L•• asset managerDec 17, 2012 to Feb 18, 2015 · Naperville, Il
- C•••••• W••••• M••••••••• L•• independent RIAJul 21, 2011 to Dec 12, 2012 · Naperville, Il
- G•••• L•••• A•••••••• L•• otherMar 1, 2005 to Sep 12, 2005 · Chicago, Il
- G••••••••• I••••••••• asset managerMay 4, 2004 to Feb 23, 2005 · Lisle, Il
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedMar 31, 2003 to May 4, 2004 · Saint Charles, Il
- C••••••••• C•••••• I••••••••• S•••••••• I••• unclassifiedJan 3, 2002 to Mar 31, 2003 · St Charles, Il
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jun 19, 2019, registered Jun 19, 2019 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M•••••• • N••••• A•••••••• L•• to W•••• F•••• A•••••••left Oct 17, 2016, registered Oct 25, 2016 (8 days) · Other
- C•••••• A••••••• L•• to M•••••• • N••••• A•••••••• L••left Feb 18, 2015, registered Mar 6, 2015 (16 days) · Other
- C•••••• W••••• M••••••••• L•• to C•••••• A••••••• L••left Dec 12, 2012, registered Dec 17, 2012 (5 days) · Other
- G•••• L•••• A•••••••• L•• to C•••••• W••••• M••••••••• L••left Sep 12, 2005, registered Jul 21, 2011 (2138 days) · Other
- G••••••••• I••••••••• to G•••• L•••• A•••••••• L••left Feb 23, 2005, registered Mar 1, 2005 (6 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to G••••••••• I•••••••••left May 4, 2004, registered May 4, 2004 (0 days) · Other
- C••••••••• C•••••• I••••••••• S•••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Mar 31, 2003, registered Mar 31, 2003 (0 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address