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.
O••••• E••••
- A••••••• S••••••• N•••••• independent RIA currentsince Sep 6, 2017 · Atlanta, Ga
- S••• P•••••• W••••• G••••• L•• independent RIANov 18, 2014 to Aug 31, 2017 · Wheaton, Il
- L•••••• L•••••• L••• unclassifiedAug 11, 2014 to Dec 31, 2014 · Park Ridge, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 11, 2014 to Sep 21, 2017 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDJul 9, 2003 to Aug 20, 2014 · Chicago, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••• P•••••• W••••• G••••• L••left Sep 21, 2017, registered Nov 18, 2014 (-1038 days) · Other · moved with a team
- S••• P•••••• W••••• G••••• L•• to A••••••• S••••••• N••••••left Aug 31, 2017, registered Sep 6, 2017 (6 days) · Other
- L•••••• L•••••• L••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 31, 2014, registered Aug 11, 2014 (-142 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•••••• L•••••• L•••left Aug 20, 2014, registered Aug 11, 2014 (-9 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