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.
W•••••• V••••• G•••••••
- S••••• W••••• M••••••••• independent RIA currentsince Feb 20, 2020 · Rockford, Il
- H•••• F•••••••• formerOct 7, 2014 to Aug 2, 2020 · Lincolnshire, Il
- C••••• F••••••••• W••••• P•••••••• L•• formerSep 13, 2013 to Dec 17, 2014 · New York, Ny
- M•••••• BD affiliatedDec 13, 2011 to Jan 9, 2014 · Overland Park, Ks
- F••••• W••••• M••••••••• independent RIANov 10, 2010 to Nov 15, 2011 · Chicago, Il
- F••••••• P••••••• C•••••• M••••••••• C•••••• unclassifiedJun 16, 2006 to Dec 31, 2009 · Naples, Fl
- H•••• F•••••••• to S••••• W••••• M•••••••••left Aug 2, 2020, registered Feb 20, 2020 (-164 days) · RIA to RIA · moved with a team
- C••••• F••••••••• W••••• P•••••••• L•• to H•••• F••••••••left Dec 17, 2014, registered Oct 7, 2014 (-71 days) · Other
- M•••••• to C••••• F••••••••• W••••• P•••••••• L••left Jan 9, 2014, registered Sep 13, 2013 (-118 days) · Other
- F••••• W••••• M••••••••• to M••••••left Nov 15, 2011, registered Dec 13, 2011 (28 days) · Other
- F••••••• P••••••• C•••••• M••••••••• C•••••• to F••••• W••••• M•••••••••left Dec 31, 2009, registered Nov 10, 2010 (314 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address