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••••••• L•• J••••••
- C••••••• P••••••• independent RIA currentsince Dec 19, 2021 · Littleton, Co
- L•••••• I••••••••• A•••••••• L•• no RAUMApr 26, 2018 to Dec 31, 2021 · Chicago, Il
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to Apr 12, 2018 · Chicago, Il
- N•• A•••••• S•••••••• L•• formerAug 7, 2015 to Sep 22, 2016 · Chicago, Il
- P•••••••• S••••••••• I••• BD affiliatedMar 9, 2007 to Aug 10, 2015 · Downers Grove, Il
- L•••••• I••••••••• A•••••••• L•• to C••••••• P•••••••left Dec 31, 2021, registered Dec 19, 2021 (-12 days) · corporate re-registration, not a move
- K••••• A••••••• S•••••••• L•• to L•••••• I••••••••• A•••••••• L••left Apr 12, 2018, registered Apr 26, 2018 (14 days) · Other
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to N•• A•••••• S•••••••• L••left Aug 10, 2015, registered Aug 7, 2015 (-3 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address