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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 18, 2013 · Swansea, Il
- A••••••••• I••••••••• S•••••••• I••• independent RIAJun 18, 2010 to Dec 11, 2013 · Belleville, Il
- P•••• S••••••••• L•• no RAUMSep 19, 2003 to Mar 31, 2005 · Mt. Vernon, Il
- A••••••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 11, 2013, registered Nov 18, 2013 (-23 days) · Other
- P•••• S••••••••• L•• to A••••••••• I••••••••• S•••••••• I•••left Mar 31, 2005, registered Jun 18, 2010 (1905 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address