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.
J••••••• S•••• B••••••
- L••••••• W••••• M••••••••• L•• independent RIA currentsince Sep 22, 2014 · Glen Ellyn, Il
- P••••• C••••••• L•• formerJan 14, 2011 to Aug 15, 2014 · Chicago, Il
- L••••••• W••••• M••••••••• L•• unclassifiedJul 28, 2009 to Nov 30, 2010 · Chicago, Il
- D••• • B••••••• L•• unclassifiedJul 12, 2007 to Dec 16, 2009 · Auston, Tx
- T•••• A•••••••• L•• formerJun 29, 2007 to Jul 16, 2007 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseMay 4, 2004 to Jul 2, 2007 · Austin, Tx
- A• G• E•••••• • S•••• I••• unclassifiedDec 4, 2002 to May 10, 2004 · Austin, Tx
- P••••• C••••••• L•• to L••••••• W••••• M••••••••• L••left Aug 15, 2014, registered Sep 22, 2014 (38 days) · Other
- L••••••• W••••• M••••••••• L•• to P••••• C••••••• L••left Nov 30, 2010, registered Jan 14, 2011 (45 days) · Other
- D••• • B••••••• L•• to L••••••• W••••• M••••••••• L••left Dec 16, 2009, registered Jul 28, 2009 (-141 days) · Other
- T•••• A•••••••• L•• to D••• • B••••••• L••left Jul 16, 2007, registered Jul 12, 2007 (-4 days) · Other
- W•••• F•••• A••••••• to T•••• A•••••••• L••left Jul 2, 2007, registered Jun 29, 2007 (-3 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left May 10, 2004, registered May 4, 2004 (-6 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address