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••• S••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 9, 2017 · Glenview, Il
- P•• W••••• M••••••••• BD affiliatedFeb 1, 2016 to Feb 16, 2017 · Mundelein, Il
- I•• W••••• M••••••••• L•• BD affiliatedMar 31, 2015 to Feb 5, 2016 · Naperville, Il
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJun 7, 2007 to Mar 12, 2015 · Naperville, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 13, 2005 to Mar 29, 2007 · Northbrook, Il
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Feb 16, 2017, registered Mar 9, 2017 (21 days) · Other
- I•• W••••• M••••••••• L•• to P•• W••••• M•••••••••left Feb 5, 2016, registered Feb 1, 2016 (-4 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to I•• W••••• M••••••••• L••left Mar 12, 2015, registered Mar 31, 2015 (19 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••••• F•••••••• A•••••••• L••left Mar 29, 2007, registered Jun 7, 2007 (70 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address