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.
L••••••• P•••• S•••••••••
- A•••••• A••••••• G••••• L•• state registered currentsince Dec 7, 2021 · East Dundee, Il
- B• R•••• W••••• A•••••••• I••• BD affiliatedSep 15, 2020 to Dec 6, 2021 · East Dundee, Il
- F••• formerJan 4, 2010 to Sep 23, 2020 · Boca Raton, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedDec 2, 2009 to Jan 5, 2010 · Algonquin, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 16, 2006 to Nov 25, 2009 · Naperville, Il
- M•• F•••••••• S•••••••• I••• formerMar 25, 2004 to Jun 20, 2006 · Itasca, Il
- B• R•••• W••••• A•••••••• I••• to A•••••• A••••••• G••••• L••left Dec 6, 2021, registered Dec 7, 2021 (1 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
- F••• to B• R•••• W••••• A•••••••• I•••left Sep 23, 2020, registered Sep 15, 2020 (-8 days) · Other · moved with a team
- V••• F•••••••• A•••••••• I••• to F•••left Jan 5, 2010, registered Jan 4, 2010 (-1 days) · Other
- M•• F•••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••left Jun 20, 2006, registered Jun 16, 2006 (-4 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
- STATE REGISTEREDderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address