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•••• L• M••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 31, 2012 · Terre Haute, In
- M•••••• I••••••••• S•••••••• I••• unclassifiedMay 30, 2012 to Jun 26, 2012 · Terre Haute, In
- B••••••••• L•• formerOct 20, 2010 to Jul 20, 2012 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedApr 15, 2008 to Oct 25, 2010 · Danville, Il
- B••••••••• L•• to M•••••• I••••••••• S•••••••• I•••left Jul 20, 2012, registered May 30, 2012 (-51 days) · Other
- M•••••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Jun 26, 2012, registered Jul 31, 2012 (35 days) · Other
- L•• F•••••••• L•• to B••••••••• L••left Oct 25, 2010, registered Oct 20, 2010 (-5 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address