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.
S•••• M•••• G••••••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Mar 29, 2019 · Chicago, Il
- I••••••••• F•••••••• P••••••• BD affiliatedMar 30, 2017 to Apr 4, 2019 · Elgin, Il
- M•••••• F•••••••• S•••••••• I••• unclassifiedMay 21, 2013 to Mar 28, 2017 · Elgin, Il
- 1•• G••••• A••••••• I•• formerFeb 22, 2010 to Mar 30, 2017 · Elgin, Il
- I••••••••• F•••••••• P••••••• to I•• W••••• M••••••••• L••left Apr 4, 2019, registered Mar 29, 2019 (-6 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- 1•• G••••• A••••••• I•• to M•••••• F•••••••• S•••••••• I•••left Mar 30, 2017, registered May 21, 2013 (-1409 days) · Other · moved with a team
- M•••••• F•••••••• S•••••••• I••• to I••••••••• F•••••••• P•••••••left Mar 28, 2017, registered Mar 30, 2017 (2 days) · Other · moved with a team
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address