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.
R••••• B• D••••••
- S•• B••• A•••••••• I••• independent RIA currentsince Apr 4, 2022 · Atlanta, Ga
- E••••• W•••••• L•• independent RIASep 29, 2021 to Jan 7, 2022 · Fort Lauderdale, Fl
- I•••••••• A•••••••• L•• BD affiliatedNov 12, 2018 to Jun 4, 2021 · Bolingbrook, Il
- I••••••••• A••••••• C••• formerSep 19, 2012 to Oct 19, 2018 · Bolingbrook, Il
- A••••• F•••••••• P•••••••• I••• independent RIAMay 14, 2010 to Aug 24, 2012 · Downers Grove, Il
- L•• F•••••••• L•• BD affiliatedOct 13, 2005 to May 19, 2010 · Naperville, Il
- M••••• S•••••• D• I••• unclassifiedMar 8, 2002 to Aug 29, 2005 · Lisle, Il
- E••••• W•••••• L•• to S•• B••• A•••••••• I•••left Jan 7, 2022, registered Apr 4, 2022 (87 days) · RIA to RIA
- I•••••••• A•••••••• L•• to E••••• W•••••• L••left Jun 4, 2021, registered Sep 29, 2021 (117 days) · RIA to RIA
- I••••••••• A••••••• C••• to I•••••••• A•••••••• L••left Oct 19, 2018, registered Nov 12, 2018 (24 days) · Affiliated broker-dealer or bank to independent RIA
- A••••• F•••••••• P•••••••• I••• to I••••••••• A••••••• C•••left Aug 24, 2012, registered Sep 19, 2012 (26 days) · Other
- L•• F•••••••• L•• to A••••• F•••••••• P•••••••• I•••left May 19, 2010, registered May 14, 2010 (-5 days) · Other
- M••••• S•••••• D• I••• to L•• F•••••••• L••left Aug 29, 2005, registered Oct 13, 2005 (45 days) · Other
- R••••• B• D•••••• left E••••• W•••••• L•• for S•• B••• A•••••••• I••• (registered 2022-04-04)Jan 7, 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address