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.
T••• L••• S•••
- C••••• F•••••••• G••••• I••• independent RIA currentsince Apr 30, 2021 · Barrington, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 29, 2016 to May 4, 2021 · Brooklyn Park, Mn
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 8, 2004 to May 3, 2011 · Naperville, Il
- T•• I••••••••• C•••••• I••• unclassifiedOct 3, 2003 to Jun 1, 2004 · Morris , Il
- P•••• S••••••••• L•• no RAUMApr 20, 2001 to Oct 29, 2003 · Ottawa, Il
- V••• F•••••••• A•••••••• I••• to C••••• F•••••••• G••••• I•••left May 4, 2021, registered Apr 30, 2021 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- T•• I••••••••• C•••••• I••• to V••• F•••••••• A•••••••• I•••left Jun 1, 2004, registered Jun 8, 2004 (7 days) · Other
- P•••• S••••••••• L•• to T•• I••••••••• C•••••• I•••left Oct 29, 2003, registered Oct 3, 2003 (-26 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address