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.
S•••• R• R•••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Feb 16, 2018 · Chicago, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 25, 2017 to Jan 16, 2018 · Chicago, Il
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 4, 2016 to Apr 7, 2017 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 2011 to Aug 26, 2016 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerApr 1, 2010 to Aug 4, 2011 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 14, 2009 · Glenview, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 2, 2007 to Jun 1, 2009 · Glenview, Il
- N••••••••• M••••• I••••••••• S••••••••• to U•• F•••••••• S••••••• I•••left Jan 16, 2018, registered Feb 16, 2018 (31 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 7, 2017, registered Jul 25, 2017 (109 days) · Other
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 26, 2016, registered Aug 4, 2016 (-22 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Aug 4, 2011, registered Jul 8, 2011 (-27 days) · Other
- M••••• S•••••• to C••••• S••••• S••••••••• •••• L••left Dec 14, 2009, registered Apr 1, 2010 (108 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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