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.
T••••• K• W••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Yorkville, Il
- E••••• J•••• national BDApr 15, 2016 to Apr 19, 2022 · Oswego, Il
- R•••• S••••• A•••••••• L•• independent RIAMay 28, 2014 to Apr 5, 2016 · Aurora, Il
- C•••••• W••••• M••••••••• L•• independent RIAJul 1, 2010 to May 15, 2014 · Naperville, Il
- E••••• J•••• to C••••• I••••••••• A••••••• L••left Apr 19, 2022, registered Jun 29, 2023 (436 days) · Affiliated broker-dealer or bank to another
- R•••• S••••• A•••••••• L•• to E••••• J••••left Apr 5, 2016, registered Apr 15, 2016 (10 days) · Other
- C•••••• W••••• M••••••••• L•• to R•••• S••••• A•••••••• L••left May 15, 2014, registered May 28, 2014 (13 days) · Other
- T••••• K• W•••• left E••••• J•••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)Apr 19, 2022 · 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