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•••• F•••• A••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 26, 2020 · Chicago, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 5, 2018 to Oct 21, 2020 · Rosemont, Il
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 21, 2018 to Aug 31, 2018 · Chicago, Il
- H•••••••• A•••••• G••••• L•• formerDec 11, 2013 to Sep 14, 2018 · Downers Grove, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Dec 10, 2013 · Schaumburg, Il
- C•••• I••••••••• S••••••• C•••• formerMar 19, 2008 to Oct 1, 2012 · Chicago, Il
- P•••• S••••••••• L•• no RAUMFeb 9, 2006 to Jan 28, 2008 · Naperville, Il
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Oct 21, 2020, registered Oct 26, 2020 (5 days) · Affiliated broker-dealer or bank to another
- H•••••••• A•••••• G••••• L•• to V•••• F•••••••• A•••••••• I•••left Sep 14, 2018, registered Aug 21, 2018 (-24 days) · RIA to affiliated broker-dealer or bank
- V•••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 31, 2018, registered Sep 5, 2018 (5 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to H•••••••• A•••••• G••••• L••left Dec 10, 2013, registered Dec 11, 2013 (1 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
- P•••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Jan 28, 2008, registered Mar 19, 2008 (51 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