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.
C•••••••• M•••• C••••
- V••••••• A•••••••• I••• BD affiliated currentsince Jul 26, 2021 · Scottsdale, Az
- P•••••••• A••••••• national BDMar 1, 2021 to Jun 15, 2021 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDSep 14, 2015 to Mar 5, 2019 · Chicago, Il
- C••• B•••••••• S•••••••• I••• formerSep 16, 2013 to Jul 16, 2015 · St. John, In
- L•• F•••••••• L•• BD affiliatedApr 4, 2006 to Mar 6, 2012 · Chicago, Il
- V•••• F•••••••• A•••••••• I••• BD affiliatedMay 4, 2004 to May 23, 2005 · Chicago, Il
- P•••••••• A••••••• to V••••••• A•••••••• I•••left Jun 15, 2021, registered Jul 26, 2021 (41 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to P•••••••• A•••••••left Mar 5, 2019, registered Mar 1, 2021 (727 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Jul 16, 2015, registered Sep 14, 2015 (60 days) · Other
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left Mar 6, 2012, registered Sep 16, 2013 (559 days) · Other
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left May 23, 2005, registered Apr 4, 2006 (316 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