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.
- E••••••••• L•• state registered currentsince Feb 11, 2017 · Chicago, Il
- M••••• S•••••• wirehouseNov 19, 2010 to Feb 20, 2017 · Glenview, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthApr 21, 2008 to Nov 24, 2010 · Highland Park, Il
- C•••• I••••••••• S••••••• C•••• formerJul 13, 2005 to Apr 17, 2008 · Deerfield, Il
- M••••• S•••••• to E••••••••• L••left Feb 20, 2017, registered Feb 11, 2017 (-9 days) · Wirehouse to a state-registered adviser · moved with a team
- M•••••• F•••••••• I••••••••• M••••••••• I••• to M••••• S••••••left Nov 24, 2010, registered Nov 19, 2010 (-5 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Apr 17, 2008, registered Apr 21, 2008 (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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address