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••• K•••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Mar 15, 2019 · Skokie, Il
- B• R•••• W••••• A•••••••• I••• BD affiliatedApr 21, 2017 to Mar 25, 2019 · Chicago, Il
- I••••••••• P••••••••• I••• formerJan 16, 2015 to Apr 24, 2017 · Gurnee, Il
- F•••• T•••• S••••••••• I••• BD affiliatedJul 8, 2010 to Jan 12, 2015 · Northbrook, Il
- C•••••• S••••• • C••• I••• national BDAug 16, 2005 to Jul 19, 2010 · Winnetka, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 2, 2004 to Jul 12, 2005 · Northbrook, Il
- B• R•••• W••••• A•••••••• I••• to A••••••• F•••••••• A•••••••• L••left Mar 25, 2019, registered Mar 15, 2019 (-10 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••••• I••• to B• R•••• W••••• A•••••••• I•••left Apr 24, 2017, registered Apr 21, 2017 (-3 days) · Other
- F•••• T•••• S••••••••• I••• to I••••••••• P••••••••• I•••left Jan 12, 2015, registered Jan 16, 2015 (4 days) · Other
- C•••••• S••••• • C••• I••• to F•••• T•••• S••••••••• I•••left Jul 19, 2010, registered Jul 8, 2010 (-11 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jul 12, 2005, registered Aug 16, 2005 (35 days) · Wirehouse to affiliated broker-dealer or bank
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address