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.
D•••••• W• O••••••••
- H•••••••• P••••••• P••••••• independent RIA currentsince Dec 8, 2021 · Bonita Springs, Fl
- H•••••••• A•••••• G••••• L•• formerJun 30, 2016 to Dec 31, 2021 · Schaumburg, Il
- F•••• T•••• S••••••••• I••• BD affiliatedJan 15, 2010 to Jul 11, 2016 · Clarendon Hills, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jan 27, 2010 · Chicago, Il
- C••••••• I••••••••• S••••••• unclassifiedMar 12, 2004 to May 29, 2007 · Schaumburg, Il
- U•• F•••••••• S••••••• I••• wirehouseJul 26, 2002 to Apr 2, 2004 · Schaumburg, Il
- H•••••••• A•••••• G••••• L•• to H•••••••• P••••••• P•••••••left Dec 31, 2021, registered Dec 8, 2021 (-23 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to H•••••••• A•••••• G••••• L••left Jul 11, 2016, registered Jun 30, 2016 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to F•••• T•••• S••••••••• I•••left Jan 27, 2010, registered Jan 15, 2010 (-12 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C••••••• I••••••••• S•••••••left Apr 2, 2004, registered Mar 12, 2004 (-21 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address