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.
S••• M••••••••• D••••••••
- P• A•••• M••••••••• L•• asset manager currentsince Jan 16, 2015 · Chicago, Il
- P• A•••• M••••••••• L•• asset managerJan 16, 2015 to Dec 31, 2017 · Chicago, Il
- W•••• E••••• G••••• I••• BD affiliatedOct 25, 2013 to Feb 5, 2014 · Wheaton, Il
- O•••••• F•••••••• unclassifiedApr 25, 2012 to Dec 31, 2014 · Northfield, Il
- M• H••••••• S••••••••• I••• BD affiliatedFeb 28, 2012 to Apr 19, 2012 · Chicago, Il
- O•••••• F•••••••• to W•••• E••••• G••••• I•••left Dec 31, 2014, registered Oct 25, 2013 (-432 days) · Other
- W•••• E••••• G••••• I••• to P• A•••• M••••••••• L••left Feb 5, 2014, registered Jan 16, 2015 (345 days) · Other
- M• H••••••• S••••••••• I••• to O•••••• F••••••••left Apr 19, 2012, registered Apr 25, 2012 (6 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address