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.
G•••••• K••••••••• S••••
- C•••••• C••••• G••••• I••• no RAUM currentsince Feb 13, 2019 · Carmel, In
- A••••••••• F•••••••• S•••••••• L•• national BDOct 6, 2018 to Jan 18, 2019 · Downers Grove, Il
- F•••• T•••• A••••••• L• asset managerSep 28, 2011 to Sep 7, 2018 · Wheaton, Il
- U••• B•••••• I••••••••• I••• formerJan 10, 2007 to Mar 24, 2011 · Naperville, Il
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJun 21, 2006 to Dec 20, 2006 · Downers Grove, Il
- A••••••••• F•••••••• S•••••••• L•• to C•••••• C••••• G••••• I•••left Jan 18, 2019, registered Feb 13, 2019 (26 days) · Other
- F•••• T•••• A••••••• L• to A••••••••• F•••••••• S•••••••• L••left Sep 7, 2018, registered Oct 6, 2018 (29 days) · Other
- U••• B•••••• I••••••••• I••• to F•••• T•••• A••••••• L•left Mar 24, 2011, registered Sep 28, 2011 (188 days) · Other
- T••••••• I••••••••• M••••••••• I••• to U••• B•••••• I••••••••• I•••left Dec 20, 2006, registered Jan 10, 2007 (21 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
- No RAUM reportedderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address