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.
U•• S• M•••••
- S••••• A••••••• I••• BD affiliated currentsince Dec 6, 2019 · Frankfort, Il
- Q•••• C•••••• S••••••••• I••• formerFeb 20, 2008 to Dec 6, 2019 · Frankfort, Il
- U•••• I••••••••• I••• unclassifiedJun 27, 2003 to Dec 31, 2008 · Palos Park, Il
- 1••• C•••••• M••••••••• C•••••• unclassifiedJan 31, 2001 to Oct 2, 2002 · Oakbrook, Il
- Q•••• C•••••• S••••••••• I••• to S••••• A••••••• I•••left Dec 6, 2019, registered Dec 6, 2019 (0 days) · corporate re-registration, not a move
- U•••• I••••••••• I••• to Q•••• C•••••• S••••••••• I•••left Dec 31, 2008, registered Feb 20, 2008 (-315 days) · Other
- 1••• C•••••• M••••••••• C•••••• to U•••• I••••••••• I•••left Oct 2, 2002, registered Jun 27, 2003 (268 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address