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 Sep 5, 2023 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerMar 28, 2022 to Sep 5, 2023 · Jersey City, Nj
- H••••• A•••••••• I••• independent RIANov 18, 2020 to Dec 23, 2021 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 10, 2014 to Jun 22, 2020 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 21, 2014 · Chicago, Il
- C•••• I••••••••• S••••••• C•••• formerApr 20, 2009 to Oct 1, 2012 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseMar 27, 2008 to Feb 26, 2009 · Chicago, Il
- M•• F•••••••• S•••••••• I••• formerNov 14, 2007 to Mar 20, 2008 · Buffalo Grove, Il
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- H••••• A•••••••• I••• to E•••••• C•••••• M••••••••• L••left Dec 23, 2021, registered Mar 28, 2022 (95 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••••• A•••••••• I•••left Jun 22, 2020, registered Nov 18, 2020 (149 days) · Wirehouse to independent RIA
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 21, 2014, registered Nov 10, 2014 (112 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••• I••••••••• S••••••• C••••left Feb 26, 2009, registered Apr 20, 2009 (53 days) · Other
- M•• F•••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Mar 20, 2008, registered Mar 27, 2008 (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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address