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.
D•••••• J•••• U•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 1, 2018 · Oakbrook Terrace, Il
- E•••••• F•••••••• S•••••••• L•• formerMay 19, 2010 to Nov 1, 2018 · Fairfax, Va
- W••• F•••••••• M••••••••• L•• unclassifiedJan 20, 2006 to Dec 31, 2007 · Oak Brook, Il
- W••• F•••••••• M••••••••• L•• formerJan 6, 2006 to Apr 22, 2010 · Oakbrook Terrace, Il
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedDec 3, 2002 to Sep 10, 2004 · Lake Forest, Il
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- W••• F•••••••• M••••••••• L•• to W••• F•••••••• M••••••••• L••left Apr 22, 2010, registered Jan 20, 2006 (-1553 days) · Other
- W••• F•••••••• M••••••••• L•• to E•••••• F•••••••• S•••••••• L••left Dec 31, 2007, registered May 19, 2010 (870 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to W••• F•••••••• M••••••••• L••left Sep 10, 2004, registered Jan 6, 2006 (483 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address