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.
A••••• M••••• K••••••
- M••••• A•••••••• L•• BD affiliated currentsince Mar 25, 2019 · Naples, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 23, 2011 to Mar 25, 2019 · E••••••Ville, Il
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 31, 2002 to Nov 17, 2011 · E••••••Ville, Il
- A• G• E•••••• • S•••• I••• unclassifiedNov 20, 2001 to Aug 9, 2002 · Morris, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• A•••••••• L••left Mar 25, 2019, registered Mar 25, 2019 (0 days) · Affiliated broker-dealer or bank to another
- U•••• F•••••••• S••••••• G••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 17, 2011, registered Nov 23, 2011 (6 days) · Other
- A• G• E•••••• • S•••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Aug 9, 2002, registered Jul 31, 2002 (-9 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address