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.
W•••••• F•••• M••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince Aug 27, 2014 · Chicago, Il
- C•••••• W••••• M••••••••• L•• independent RIAFeb 6, 2012 to Aug 13, 2014 · Naperville, Il
- B••••••• C•••••• I••• formerJan 21, 2009 to Mar 12, 2010 · Chicago, Il
- L••••• B••••••• I••• unclassifiedFeb 20, 2008 to Oct 15, 2008 · New York, Ny
- N••••••• T•••• S••••••••• I•• BD affiliatedJan 3, 2003 to Jan 22, 2008 · Chicago, Il
- C•••••• W••••• M••••••••• L•• to W•••••• B•••• • C•••••• L•••••left Aug 13, 2014, registered Aug 27, 2014 (14 days) · Other
- B••••••• C•••••• I••• to C•••••• W••••• M••••••••• L••left Mar 12, 2010, registered Feb 6, 2012 (696 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move
- N••••••• T•••• S••••••••• I•• to L••••• B••••••• I•••left Jan 22, 2008, registered Feb 20, 2008 (29 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address