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.
M••••• L••• K•••••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince Jun 21, 2022 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseDec 4, 2008 to May 15, 2012 · Chicago, Il
- C•••••• W••••• M••••••••• L•• independent RIAOct 26, 2007 to Jun 30, 2008 · Naperville, Il
- C•••••• A••••••• L•• asset managerAug 24, 2007 to Oct 17, 2007 · Naperville, Il
- J••• M••••• S••••••••• L•• to W•••••• B•••• • C•••••• L•••••left May 15, 2012, registered Jun 21, 2022 (3689 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• W••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Jun 30, 2008, registered Dec 4, 2008 (157 days) · Other
- C•••••• A••••••• L•• to C•••••• W••••• M••••••••• L••left Oct 17, 2007, registered Oct 26, 2007 (9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address