RIA Intelligence

• M•••• W••••• independent RIA current
  since Sep 6, 2019 · Wheaton, Il
• H•••••••• A•••••• G••••• L•• former
  Jun 5, 2012 to Dec 2, 2019 · Downers Grove, Il
• L•• F•••••••• L•• BD affiliated
  May 30, 2012 to Mar 27, 2013 · Downers Grove, Il
• C•••• I••••••••• S••••••• C•••• former
  Jul 6, 2005 to May 31, 2012 · Chicago, Il
• B••• O•• S••••••••• C••••••••• unclassified
  Dec 1, 2004 to Jul 6, 2005 · Bloomingdale, Il

• H•••••••• A•••••• G••••• L•• to M•••• W•••••
  left Dec 2, 2019, registered Sep 6, 2019 (-87 days) · RIA to a newly registered adviser · moved with a team
• L•• F•••••••• L•• to H•••••••• A•••••• G••••• L••
  left Mar 27, 2013, registered Jun 5, 2012 (-295 days) · Other
• C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••
  left May 31, 2012, registered May 30, 2012 (-1 days) · Other
• B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
  left Jul 6, 2005, registered Jul 6, 2005 (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