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.
G••••• W••••• C••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 25, 2016 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerSep 12, 2008 to Mar 15, 2016 · Chicago, Il
- L••••• B••••••• I••• unclassifiedJun 3, 2004 to Sep 16, 2008 · Chicago, Il
- B••• O• A•••••• S••••••••• L•• unclassifiedApr 29, 2002 to Jun 17, 2003 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 15, 2016, registered Feb 25, 2016 (-19 days) · Other
- L••••• B••••••• I••• to C••••• S••••• S••••••••• •••• L••left Sep 16, 2008, registered Sep 12, 2008 (-4 days) · corporate re-registration, not a move
- B••• O• A•••••• S••••••••• L•• to L••••• B••••••• I•••left Jun 17, 2003, registered Jun 3, 2004 (352 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address