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•••••••• Y•
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Chicago, Il
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 14, 2022 · Chicago, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 7, 2023 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 30, 2017 to Feb 26, 2018 · Saint Louis, Mo
- S•••••••• A••••••• L•• national BDFeb 6, 2007 to Jul 6, 2016 · Chicago, Il
- B•• H••••• F•••••••• A•••••••• I•• formerJul 10, 2006 to Dec 20, 2006 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerOct 14, 2003 to Oct 7, 2005 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDSep 3, 2002 to Oct 10, 2003 · Chicago, Il
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 7, 2023, registered Feb 27, 2018 (-2018 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Jan 26, 2022 (-261 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to S•••••••• I••••••••• M•••••••••left Jul 6, 2016, registered Jan 30, 2017 (208 days) · Other
- B•• H••••• F•••••••• A•••••••• I•• to S•••••••• A••••••• L••left Dec 20, 2006, registered Feb 6, 2007 (48 days) · Other
- E•••••• C•••••• M••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Oct 7, 2005, registered Jul 10, 2006 (276 days) · Other
- C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••left Oct 10, 2003, registered Oct 14, 2003 (4 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address