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.
N••••••• P••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 23, 2013 · Glenview, Il
- R•••••• J•••• • A••••••••• I••• national BDNov 1, 2011 to Sep 23, 2013 · Winnetka, Il
- C•••••• S••••• • C••• I••• national BDMar 13, 2006 to Apr 25, 2011 · Winnetka, Il
- D•••• A• N•••• • C•••••• formerSep 28, 2005 to Feb 24, 2006 · Chicago, Il
- V••••• A•••• M••••••••• I•• unclassifiedApr 21, 2003 to Aug 1, 2005 · Morton Grove, Il
- R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••left Sep 23, 2013, registered Sep 23, 2013 (0 days) · Other
- C•••••• S••••• • C••• I••• to R•••••• J•••• • A••••••••• I•••left Apr 25, 2011, registered Nov 1, 2011 (190 days) · Affiliated broker-dealer or bank to another
- D•••• A• N•••• • C•••••• to C•••••• S••••• • C••• I•••left Feb 24, 2006, registered Mar 13, 2006 (17 days) · Other
- V••••• A•••• M••••••••• I•• to D•••• A• N•••• • C••••••left Aug 1, 2005, registered Sep 28, 2005 (58 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address