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.
S•••• S••••••
- C•••••• W••••• M••••••••• L•• independent RIA currentsince Sep 12, 2018 · Naperville, Il
- R•••••• J•••• • A••••••••• I••• national BDMar 17, 2015 to Aug 24, 2018 · Chicago, Il
- W•••• F•••• A••••••• wirehouseSep 15, 2009 to Mar 18, 2015 · Deerfield, Il
- E••••• F•••••••• G••••• I••• unclassifiedSep 5, 2007 to May 29, 2009 · Lincolnshire, Il
- P•••• S••••••••• L•• no RAUMAug 28, 2003 to Jan 10, 2006 · Downers Grove, Il
- R•••••• J•••• • A••••••••• I••• to C•••••• W••••• M••••••••• L••left Aug 24, 2018, registered Sep 12, 2018 (19 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Mar 18, 2015, registered Mar 17, 2015 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• F•••••••• G••••• I••• to W•••• F•••• A•••••••left May 29, 2009, registered Sep 15, 2009 (109 days) · Other
- P•••• S••••••••• L•• to E••••• F•••••••• G••••• I•••left Jan 10, 2006, registered Sep 5, 2007 (603 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