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.
E•••• I• A•••••
- C•••••• A••••••• BD affiliated currentsince Aug 7, 2023 · Lombard, Il
- L•••••• I••••••••• independent RIA currentsince Aug 7, 2023 · Crystal Lake, Il
- V•••• F•••••••• A•••••••• I••• BD affiliatedMay 22, 2007 to Aug 25, 2023 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDSep 10, 2001 to May 24, 2007 · Ann Arbor, Mi
- V•••• F•••••••• A•••••••• I••• to L•••••• I•••••••••left Aug 25, 2023, registered Aug 7, 2023 (-18 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••left May 24, 2007, registered May 22, 2007 (-2 days) · Other
- E•••• I• A••••• left V•••• F•••••••• A•••••••• I••• for C•••••• A••••••• (registered 2023-08-07)Aug 25, 2023 · 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