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•••••• T••••• P•••••
- P••••• A••••••• G••••• L•• independent RIA currentsince Jul 29, 2014 · Highland, Il
- D•••••••• • C••••••• L••••• formerJul 21, 2009 to Sep 30, 2014 · Highland, Il
- N•• A•••••• S•••••••• L•• formerMay 22, 2006 to Jul 2, 2009 · Highland, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 29, 2005 to Jun 8, 2006 · St. Louis, Mo
- D•••••••• • C••••••• L••••• to P••••• A••••••• G••••• L••left Sep 30, 2014, registered Jul 29, 2014 (-63 days) · Other
- N•• A•••••• S•••••••• L•• to D•••••••• • C••••••• L•••••left Jul 2, 2009, registered Jul 21, 2009 (19 days) · Other
- C•••••••• G••••• M•••••• I••• to N•• A•••••• S•••••••• L••left Jun 8, 2006, registered May 22, 2006 (-17 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address