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.
P••••••• M••• L••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 1, 2020 · Crystal Lake, Il
- S••••••••• A•••••• A•••••••• I••• formerDec 16, 2013 to Jun 3, 2019 · Crystal Lake, Il
- L•• F•••••••• L•• BD affiliatedOct 29, 2009 to Dec 19, 2013 · L•••••••••, Il
- L••••••••• F•••••••• G••••• L••• unclassifiedOct 29, 2009 to Jan 26, 2011 · L•••••••••, Il
- S••••••• F•••••••• S•••••••• I••• formerNov 8, 2005 to Oct 30, 2009 · Deerfield, Il
- I••••••••• F•••••••• A••••••• independent RIAFeb 16, 2005 to Nov 4, 2005 · Joilet, Il
- P•• A•••• M••••••••• I•• unclassifiedJan 5, 2005 to Mar 9, 2005 · Joliet, Il
- P•• S••••••••• C••••••••• unclassifiedJun 6, 2003 to Dec 31, 2004 · Joliet, Il
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Jun 3, 2019, registered Jun 1, 2020 (364 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Dec 19, 2013, registered Dec 16, 2013 (-3 days) · Other
- L••••••••• F•••••••• G••••• L••• to L•• F•••••••• L••left Jan 26, 2011, registered Oct 29, 2009 (-454 days) · Other
- S••••••• F•••••••• S•••••••• I••• to L••••••••• F•••••••• G••••• L•••left Oct 30, 2009, registered Oct 29, 2009 (-1 days) · Other
- I••••••••• F•••••••• A••••••• to S••••••• F•••••••• S•••••••• I•••left Nov 4, 2005, registered Nov 8, 2005 (4 days) · Other
- P•• A•••• M••••••••• I•• to I••••••••• F•••••••• A•••••••left Mar 9, 2005, registered Feb 16, 2005 (-21 days) · Other
- P•• S••••••••• C••••••••• to P•• A•••• M••••••••• I••left Dec 31, 2004, registered Jan 5, 2005 (5 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