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.
R••• M• K••••••••
- M••••• S•••••• wirehouse currentsince Oct 30, 2020 · Oak Brook, Il
- F•••• T•••• S••••••••• I••• BD affiliatedDec 7, 2007 to Nov 4, 2020 · Naperville, Il
- L•••••• F•••••••• S•••••••• I••• unclassifiedAug 5, 2005 to Dec 11, 2007 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 30, 2004 to Jul 20, 2005 · Toledo, Oh
- F•••• T•••• S••••••••• I••• to M••••• S••••••left Nov 4, 2020, registered Oct 30, 2020 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- L•••••• F•••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Dec 11, 2007, registered Dec 7, 2007 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•••••• F•••••••• S•••••••• I•••left Jul 20, 2005, registered Aug 5, 2005 (16 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address