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•••• S•••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 28, 2018 · Joliet, Il
- W••••••• I••••••••• formerNov 14, 2014 to Sep 28, 2018 · Chicago, Il
- L•••••• I••••••••• independent RIASep 11, 2003 to Nov 14, 2014 · Joliet, Il
- W••••••• I••••••••• to L•• F•••••••• L••left Sep 28, 2018, registered Sep 28, 2018 (0 days) · RIA to RIA · moved with a team
- L•••••• I••••••••• to W••••••• I•••••••••left Nov 14, 2014, registered Nov 14, 2014 (0 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