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.
C•••• N•• P•••
- N••••••• T•••• S••••••••• I•• BD affiliated currentsince May 24, 2024 · Barrington, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to May 16, 2024 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 20, 2017 to Jul 13, 2018 · Schaumburg, Il
- B•• W••••• A•••••••• L•• independent RIAAug 6, 2014 to Mar 28, 2017 · Vernon Hills, Il
- C••• F•••••••• S•••••••• L••• formerJul 8, 2014 to Mar 24, 2017 · Vernon Hills, Il
- N••••••• T•••• S••••••••• I•• BD affiliatedJul 7, 2008 to Dec 31, 2009 · Chicago, Il
- F••••••• P••••••• A•• W•••••••• A••••••• to N••••••• T•••• S••••••••• I••left May 16, 2024, registered May 24, 2024 (8 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- B•• W••••• A•••••••• L•• to S•••••••• A••••••• L••left Mar 28, 2017, registered Jun 20, 2017 (84 days) · Other
- C••• F•••••••• S•••••••• L••• to B•• W••••• A•••••••• L••left Mar 24, 2017, registered Aug 6, 2014 (-961 days) · Other · moved with a team
- N••••••• T•••• S••••••••• I•• to C••• F•••••••• S•••••••• L•••left Dec 31, 2009, registered Jul 8, 2014 (1650 days) · Other
- C•••• N•• P••• left F••••••• P••••••• A•• W•••••••• A••••••• for N••••••• T•••• S••••••••• I•• (registered 2024-05-24)May 16, 2024 · Advisor changed firm · fact
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