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.
D••• R•••• W••••
- R•••••• F•••••••• state registered currentsince Jan 31, 2018 · St. Charles, Il
- L••••••••• I•••••••• unclassifiedFeb 4, 2016 to Feb 2, 2018 · North Aurora, Il
- H•••••••• A•••••• G••••• L•• formerJun 5, 2012 to Apr 1, 2016 · Downers Grove, Il
- A••••••••• F•••••••• S•••••••• L•• national BDMar 27, 2007 to Jul 15, 2011 · St. Charles, Il
- L••••••••• I•••••••• to R•••••• F••••••••left Feb 2, 2018, registered Jan 31, 2018 (-2 days) · Other · moved with a team
- H•••••••• A•••••• G••••• L•• to L••••••••• I••••••••left Apr 1, 2016, registered Feb 4, 2016 (-57 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to H•••••••• A•••••• G••••• L••left Jul 15, 2011, registered Jun 5, 2012 (326 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address