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••• K•••••••• W•••• T••••••
- E••••• J•••• national BD currentsince Oct 5, 2018 · Gurnee, Il
- L•• F•••••••• L•• BD affiliatedNov 2, 2015 to Oct 2, 2018 · Waukegan, Il
- F•••• T•••• S••••••••• I••• BD affiliatedSep 8, 2014 to Oct 26, 2015 · Rosemont, Il
- O••••••••• S••••••••• I••• BD affiliatedSep 9, 2010 to Sep 5, 2014 · Merrillville, In
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 4, 2010 to Jun 25, 2010 · Michigan City, In
- W•••• F•••• A••••••• wirehouseApr 1, 2009 to Sep 10, 2009 · Lafayette, In
- O••••••••• S••••••••• I••• BD affiliatedJan 5, 2009 to Mar 27, 2009 · Valparaiso, In
- L•• F•••••••• L•• to E••••• J••••left Oct 2, 2018, registered Oct 5, 2018 (3 days) · RIA to affiliated broker-dealer or bank
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Oct 26, 2015, registered Nov 2, 2015 (7 days) · Other
- O••••••••• S••••••••• I••• to F•••• T•••• S••••••••• I•••left Sep 5, 2014, registered Sep 8, 2014 (3 days) · Other
- F•••• T•••• S••••••••• I••• to O••••••••• S••••••••• I•••left Jun 25, 2010, registered Sep 9, 2010 (76 days) · Other
- W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••left Sep 10, 2009, registered Feb 4, 2010 (147 days) · Other
- O••••••••• S••••••••• I••• to W•••• F•••• A•••••••left Mar 27, 2009, registered Apr 1, 2009 (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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address