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.
D••••• N••••• F••••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince Sep 28, 2018 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJan 2, 2009 to Oct 2, 2018 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 14, 2005 to Jan 8, 2009 · Chicago, Il
- M••••• S•••••• D• I••• unclassifiedJun 17, 2002 to Jan 19, 2005 · Riverwoods, Il
- W•••• F•••• A••••••• to W•••••• B•••• • C•••••• L•••••left Oct 2, 2018, registered Sep 28, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 8, 2009, registered Jan 2, 2009 (-6 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 19, 2005, registered Jan 14, 2005 (-5 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