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.
N••••••• J••••• R••••••
- V•••••• P•••• F••••••••• L•• independent RIA currentsince Dec 18, 2019 · Lisle, Il
- S•• BD affiliatedJan 4, 2011 to Jan 20, 2020 · Lisle, Il
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Jan 11, 2011 · Chicago, Il
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 8, 2003 to Oct 5, 2009 · Naperville, Il
- S•• to V•••••• P•••• F••••••••• L••left Jan 20, 2020, registered Dec 18, 2019 (-33 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to S••left Jan 11, 2011, registered Jan 4, 2011 (-7 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address