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•••• B• M••••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 25, 2021 · Chicago, Il
- C••••••••• W••••• A•••••••• L•• BD affiliatedAug 25, 2017 to Jul 1, 2021 · Minneapolis, Mn
- F••••• M••••• W••••• A•••••••• L•• independent RIANov 4, 2014 to Apr 11, 2017 · Oakbrook Terrace, Il
- W••• F•••••••• M••••••••• L•• formerMar 20, 2014 to Dec 31, 2014 · Oakbrook Terrace, Il
- W••• F•••••••• M••••••••• L•• formerMar 20, 2014 to Oct 30, 2015 · Oakbrook Terrace, Il
- M•••• C••••••• A••••••• S•••••• BD affiliatedMay 7, 2013 to Aug 19, 2013 · Palm Beach Gardens, Fl
- C••••••••• W••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Jul 1, 2021, registered Aug 25, 2021 (55 days) · Affiliated broker-dealer or bank to another
- F••••• M••••• W••••• A•••••••• L•• to C••••••••• W••••• A•••••••• L••left Apr 11, 2017, registered Aug 25, 2017 (136 days) · Other
- W••• F•••••••• M••••••••• L•• to F••••• M••••• W••••• A•••••••• L••left Oct 30, 2015, registered Nov 4, 2014 (-360 days) · Other · moved with a team
- M•••• C••••••• A••••••• S•••••• to W••• F•••••••• M••••••••• L••left Aug 19, 2013, registered Mar 20, 2014 (213 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address