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••••••• D••••• W••••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 25, 2013 · Lincolnshire, Il
- G•• F•••••••• A•••••••• I••• formerJan 6, 2011 to May 1, 2013 · Lake Forest, Il
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Dec 9, 2010 · Lake Forest, Il
- A• G• E•••••• • S•••• I••• unclassifiedJan 3, 2001 to Jan 1, 2008 · Lake Forest, Il
- G•• F•••••••• A•••••••• I••• to L•• F•••••••• L••left May 1, 2013, registered Apr 25, 2013 (-6 days) · Other
- W•••• F•••• A••••••• to G•• F•••••••• A•••••••• I•••left Dec 9, 2010, registered Jan 6, 2011 (28 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address