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.
J••••• R•••••• C•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 13, 2015 · Indianapolis, In
- V••••• C••••••• L•• independent RIANov 13, 2012 to Nov 12, 2014 · Chicago, Il
- V••••• C•••••• P•••••••• L•• formerApr 11, 2008 to Oct 30, 2012 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 15, 2000 to Apr 2, 2008 · Chicago, Il
- V••••• C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 12, 2014, registered Jan 13, 2015 (62 days) · Other
- V••••• C•••••• P•••••••• L•• to V••••• C••••••• L••left Oct 30, 2012, registered Nov 13, 2012 (14 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••• C•••••• P•••••••• L••left Apr 2, 2008, registered Apr 11, 2008 (9 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