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.
W•••••• R••••• D••••••
- M•••••••• M•••• state registered currentsince Apr 5, 2022 · Chicago, Il
- M•••••• I••••••••• i••••••••• wealthMar 1, 2022 to Apr 7, 2022 · Chicago, Il
- A••••••••• L•• formerMar 9, 2021 to Mar 30, 2022 · Los Angeles, Ca
- L••••••• W••••• M••••••••• L•• formerApr 20, 2012 to Feb 26, 2021 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Apr 3, 2012 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedMar 13, 2007 to Oct 1, 2008 · Chicago, Il
- N•••••• I••••••••• I••• unclassifiedMay 5, 2003 to Sep 26, 2005 · Libertyville, Il
- M•••••• I••••••••• to M•••••••• M••••left Apr 7, 2022, registered Apr 5, 2022 (-2 days) · RIA to a state-registered adviser
- A••••••••• L•• to M•••••• I•••••••••left Mar 30, 2022, registered Mar 1, 2022 (-29 days) · corporate re-registration, not a move
- L••••••• W••••• M••••••••• L•• to A••••••••• L••left Feb 26, 2021, registered Mar 9, 2021 (11 days) · Other
- J••• M••••• S••••••••• L•• to L••••••• W••••• M••••••••• L••left Apr 3, 2012, registered Apr 20, 2012 (17 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- N•••••• I••••••••• I••• to J••• M••••• S••••••••• I•••left Sep 26, 2005, registered Mar 13, 2007 (533 days) · Other
- W•••••• R••••• D•••••• left M•••••• I••••••••• for M•••••••• M•••• (registered 2022-04-05)Apr 7, 2022 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address