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.
A•••••• H••••••••
- V••• R••••••••• A•••••••• L•• other currentsince Sep 15, 2018 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 10, 2016 to May 22, 2018 · Chicago, Il
- V••• R••••••••• A•••••••• L•• otherMar 17, 2010 to Feb 25, 2016 · Braintree, Ma
- B•• H••••• F•••••••• A•••••••• I•• formerDec 18, 2008 to Jun 26, 2009 · Chicago, Il
- V••• F•••••••• A•••••••• I••• to V••• R••••••••• A•••••••• L••left May 22, 2018, registered Sep 15, 2018 (116 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- V••• R••••••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••left Feb 25, 2016, registered Feb 10, 2016 (-15 days) · Other · moved with a team
- B•• H••••• F•••••••• A•••••••• I•• to V••• R••••••••• A•••••••• L••left Jun 26, 2009, registered Mar 17, 2010 (264 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
- Other adviserderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address