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.
G•••••• H••••• K•••
- E•••••••• A•••••••• L•• national BD currentsince Jan 15, 2021 · Buffalo Grove, Il
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMar 23, 2012 to Jan 14, 2021 · Northbrook, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 20, 2011 to Mar 27, 2012 · Chicago, Il
- N•• E•••••• S••••••••• C••••••••• formerMay 4, 2006 to Jun 7, 2011 · Chicago, Il
- A••••••• F•••••••• A•••••••• L•• to E•••••••• A•••••••• L••left Jan 14, 2021, registered Jan 15, 2021 (1 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Mar 27, 2012, registered Mar 23, 2012 (-4 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left Jun 7, 2011, registered Jul 20, 2011 (43 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
- 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