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.
J••••• R••••• W••••
- G••••• R••••••••• P••••••• L•• institutional currentsince Jul 1, 2021 · San Rafael, Ca
- S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• formerSep 20, 2018 to Oct 25, 2022 · Milwuakee, Wi
- I••••••••• F•••••••• P••••••• BD affiliatedOct 19, 2010 to Dec 31, 2018 · Northbrook, Il
- S••••••• R••• A•••••••• L•• unclassifiedSep 29, 2010 to Dec 31, 2010 · Northbrook, Il
- N•• A•••••••• I••• unclassifiedMar 3, 2008 to Dec 1, 2010 · Northbrook, Il
- N•• F••••••••• I••• unclassifiedDec 12, 2006 to Oct 15, 2008 · Northbrook, Il
- E•••••••• A•••••••• L•• national BDApr 24, 2006 to Dec 12, 2006 · Northbrook, Il
- S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• to G••••• R••••••••• P••••••• L••left Oct 25, 2022, registered Jul 1, 2021 (-481 days) · channel change inside one enterprise, not a move · moved with a team
- I••••••••• F•••••••• P••••••• to S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••left Dec 31, 2018, registered Sep 20, 2018 (-102 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- S••••••• R••• A•••••••• L•• to I••••••••• F•••••••• P•••••••left Dec 31, 2010, registered Oct 19, 2010 (-73 days) · Other
- N•• A•••••••• I••• to S••••••• R••• A•••••••• L••left Dec 1, 2010, registered Sep 29, 2010 (-63 days) · Other
- N•• F••••••••• I••• to N•• A•••••••• I•••left Oct 15, 2008, registered Mar 3, 2008 (-226 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to N•• F••••••••• I•••left Dec 12, 2006, registered Dec 12, 2006 (0 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
- Institutional managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address