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.
H•••• Z•• P••••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 19, 2022 · Chicago, Il
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 4, 2015 to Aug 19, 2022 · Chicago, Il
- B••••••• C•••••• I••• formerApr 17, 2009 to Dec 4, 2015 · Chicago, Il
- D••••••• B••• S••••••••• I••• no RAUMAug 8, 2005 to Apr 7, 2009 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Aug 11, 2005 · Chicago, Il
- P••••••• L•• unclassifiedJan 23, 2002 to Jan 17, 2003 · Chicago, Il
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Aug 19, 2022, registered Aug 19, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- D••••••• B••• S••••••••• I••• to B••••••• C•••••• I•••left Apr 7, 2009, registered Apr 17, 2009 (10 days) · Other
- C••••• S••••• S••••••••• •••• L•• to D••••••• B••• S••••••••• I•••left Aug 11, 2005, registered Aug 8, 2005 (-3 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
- H•••• Z•• P•••••• left S•••••• N••••••• • C••••••• I••••••••• for W•••• F•••• A••••••• (registered 2022-08-19)Aug 19, 2022 · 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address