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.
T••• B••••• W•••••••••
- D•••••• W••••• A••••••• independent RIA currentsince May 16, 2022 · Chicago, Il
- N••••• F••• A•••••••• L•• asset managerMar 5, 2008 to Mar 31, 2011 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Feb 4, 2008 · Chicago, Il
- C••••••• I••••••••• S••••••• unclassifiedJun 18, 2004 to May 29, 2007 · Evanston, Il
- A••••••••• F•••••••• S•••••••• L•• national BDSep 24, 2003 to Mar 16, 2004 · Rockford, Il
- N••••• F••• A•••••••• L•• to D•••••• W••••• A•••••••left Mar 31, 2011, registered May 16, 2022 (4064 days) · Other
- C•••••••• G••••• M•••••• I••• to N••••• F••• A•••••••• L••left Feb 4, 2008, registered Mar 5, 2008 (30 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C••••••• I••••••••• S•••••••left Mar 16, 2004, registered Jun 18, 2004 (94 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address