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.
R••••• D•••••• F••••
- R•• C•••••• M••••••• L•• national BD currentsince Mar 3, 2022 · Lake Forest, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 11, 2011 to Mar 8, 2022 · Lake Forest, Il
- B•• H••••• F•••••••• A•••••••• I•• formerDec 16, 2005 to Feb 22, 2011 · Lake Forest, Il
- E•••••• C•••••• M••••••••• L•• formerMar 16, 2004 to Dec 31, 2005 · Lake Forest, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Mar 8, 2022, registered Mar 3, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- B•• H••••• F•••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 22, 2011, registered Feb 11, 2011 (-11 days) · Other
- E•••••• C•••••• M••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Dec 31, 2005, registered Dec 16, 2005 (-15 days) · corporate re-registration, not a move
- R••••• D•••••• F•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•• C•••••• M••••••• L•• (registered 2022-03-03)Mar 8, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address