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.
C•••••• K•••• M•••••
- B•••••••• R••••• • F•••••••• I••• independent RIA currentsince Jan 26, 2016 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 15, 2016 · Chicago, Il
- M••••• S•••••• • C•• L•• unclassifiedMar 17, 2005 to Jun 1, 2009 · Chicago, Il
- S• C••••••• L•• unclassifiedMay 22, 2003 to Dec 14, 2004 · Chicago, Il
- M••••• S•••••• to B•••••••• R••••• • F•••••••• I•••left Jan 15, 2016, registered Jan 26, 2016 (11 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S• C••••••• L•• to M••••• S•••••• • C•• L••left Dec 14, 2004, registered Mar 17, 2005 (93 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address