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.
H•••• D•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 12, 2018 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 17, 2012 to Aug 14, 2018 · Skokie, Il
- P•• W••••• M••••••••• BD affiliatedNov 19, 2009 to Aug 17, 2011 · Parchment, Mi
- C••••• I••••••••• S••••••• L•• formerMay 9, 2008 to Apr 24, 2009 · Portage, Mi
- E••••• J•••• national BDSep 13, 2007 to May 2, 2008 · St Louis, Mo
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 17, 2005 to Jun 7, 2007 · Portage, Mi
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 17, 2011, registered Apr 17, 2012 (244 days) · Other
- C••••• I••••••••• S••••••• L•• to P•• W••••• M•••••••••left Apr 24, 2009, registered Nov 19, 2009 (209 days) · Other
- E••••• J•••• to C••••• I••••••••• S••••••• L••left May 2, 2008, registered May 9, 2008 (7 days) · Other
- F•••• T•••• S••••••••• I••• to E••••• J••••left Jun 7, 2007, registered Sep 13, 2007 (98 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