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.
- M••••• S•••••• wirehouse currentsince Feb 7, 2014 · Oak Brook, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthSep 13, 2006 to Jul 24, 2012 · Chicago, Il
- M•••••• F••••••••• I••• unclassifiedSep 12, 2006 to Dec 31, 2006 · Chicago, Il
- W•••••• B•••• • C•••••• L••••• BD affiliatedDec 6, 2005 to Sep 5, 2006 · Chicago, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• to M••••• S••••••left Jul 24, 2012, registered Feb 7, 2014 (563 days) · Other
- M•••••• F••••••••• I••• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Dec 31, 2006, registered Sep 13, 2006 (-109 days) · Other
- W•••••• B•••• • C•••••• L••••• to M•••••• F••••••••• I•••left Sep 5, 2006, registered Sep 12, 2006 (7 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address