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.
R••••• C•••••• L•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 24, 2021 · Bartlett, Il
- B•• H••••• F•••••••• A•••••••• I•• formerJan 15, 2015 to Mar 24, 2021 · Barrington, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 8, 2015 · Des Plaines, Il
- C•••• I••••••••• S••••••• C•••• formerOct 12, 2010 to Oct 1, 2012 · Mt. Prospect, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 17, 2008 to Oct 26, 2010 · Saint C••••••, Il
- F•••• T•••• S••••••••• I••• BD affiliatedSep 20, 2006 to Apr 18, 2008 · St. C••••••, Il
- A••••••••• F•••••••• S•••••••• L•• national BDApr 28, 2003 to Sep 21, 2006 · Lombard, Il
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Jan 8, 2015, registered Jan 15, 2015 (7 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••left Oct 26, 2010, registered Oct 12, 2010 (-14 days) · Other
- F•••• T•••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Apr 18, 2008, registered Apr 17, 2008 (-1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•••• T•••• S••••••••• I•••left Sep 21, 2006, registered Sep 20, 2006 (-1 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