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.
C•••••••• M•••• P•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 3, 2014 · Northfield, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthMar 22, 2006 to Feb 4, 2014 · Highland Park, Il
- M•••••• F••••••••• I••• unclassifiedJan 3, 1999 to Dec 31, 2009 · Highland Park, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 4, 2014, registered Feb 3, 2014 (-1 days) · Other
- M•••••• F••••••••• I••• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Dec 31, 2009, registered Mar 22, 2006 (-1380 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address