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•••• M••••••• M••••••
- S•••••••• F•••••••• S•••••••• L•• independent RIA currentsince Jan 12, 2007 · Arlington Heights, Il
- F•••• H•••••••• C••••••••• I••• BD affiliatedJun 28, 2007 to Dec 31, 2012 · Springfield, Il
- M•••••••• A••••••• S•••••••• L•• unclassifiedFeb 18, 2003 to Dec 31, 2006 · Springfield, Il
- F•••• H•••••••• C••••••••• I••• to no registered destinationleft Dec 31, 2012 · Departure, no registered destination
- M•••••••• A••••••• S•••••••• L•• to S•••••••• F•••••••• S•••••••• L••left Dec 31, 2006, registered Jan 12, 2007 (12 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address