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.
L••••••• A• T•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 14, 2020 · Villa Park, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 6, 2019 to Jun 30, 2020 · Mokena, Il
- P•••••••• S••••••••• I••• BD affiliatedJun 18, 2014 to Sep 5, 2019 · Downers Grove, Il
- C••••••••• F•••••••• N•••••• national BDJun 28, 2013 to Mar 25, 2014 · Waltham, Ma
- P••••• F•••••••• S•••••••• L•• formerDec 3, 2010 to Mar 25, 2014 · Deer Park, Il
- J• W• C••• A•••••••• I••• BD affiliatedMar 6, 2008 to Nov 23, 2009 · Tampa, Fl
- V••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 30, 2020, registered Jul 14, 2020 (14 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Sep 5, 2019, registered Sep 6, 2019 (1 days) · Affiliated broker-dealer or bank to another
- P••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Mar 25, 2014, registered Jun 28, 2013 (-270 days) · Other
- C••••••••• F•••••••• N•••••• to P•••••••• S••••••••• I•••left Mar 25, 2014, registered Jun 18, 2014 (85 days) · Other
- J• W• C••• A•••••••• I••• to P••••• F•••••••• S•••••••• L••left Nov 23, 2009, registered Dec 3, 2010 (375 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address