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.
M•••••• M•••• O•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 2, 2024 · Rosemont, Il
- F•••• T•••• S••••••••• I••• BD affiliatedSep 19, 2019 to Dec 23, 2020 · Oak Brook, Il
- U••• B•••••• I••••••••• I••• formerApr 9, 2013 to Aug 30, 2019 · Chicago, Il
- P•• W••••• M••••••••• BD affiliatedDec 20, 2010 to Oct 3, 2012 · Chicago, Il
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Dec 31, 2009 · Oakbrook, Il
- N•••••• I••••••••• I••• unclassifiedOct 9, 2006 to Nov 13, 2009 · Oakbrook, Il
- B•• H••••• F•••••••• A•••••••• I•• formerDec 16, 2005 to Oct 3, 2006 · Lake Forest, Il
- E•••••• C•••••• M••••••••• L•• formerMay 14, 2002 to Dec 31, 2005 · Lake Forest, Il
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Dec 23, 2020, registered Aug 2, 2024 (1318 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••left Aug 30, 2019, registered Sep 19, 2019 (20 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••left Oct 3, 2012, registered Apr 9, 2013 (188 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- B•• H••••• F•••••••• A•••••••• I•• to N•••••• I••••••••• I•••left Oct 3, 2006, registered Oct 9, 2006 (6 days) · Other
- E•••••• C•••••• M••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Dec 31, 2005, registered Dec 16, 2005 (-15 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
- 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