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.
R••• C•••••• G••••••••
- A••••••••• W••••• P••••••• independent RIA currentsince May 17, 2019 · Minnetonka, Mn
- M••••• • A••••••••• I•• formerMay 13, 2011 to Aug 2, 2019 · Mokena, Il
- O•••• I••••••••• I••• BD affiliatedJul 23, 2009 to Apr 26, 2011 · Minooka, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jul 7, 2009 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 31, 2007 to Jan 2, 2009 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 8, 2006 to Dec 7, 2006 · Chicago, Il
- M••••• • A••••••••• I•• to A••••••••• W••••• P•••••••left Aug 2, 2019, registered May 17, 2019 (-77 days) · RIA to RIA · moved with a team
- O•••• I••••••••• I••• to M••••• • A••••••••• I••left Apr 26, 2011, registered May 13, 2011 (17 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to O•••• I••••••••• I•••left Jul 7, 2009, registered Jul 23, 2009 (16 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left Dec 7, 2006, registered Jan 31, 2007 (55 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address