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.
K••• C•••••• K••••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 22, 2016 · Oak Brook, Il
- A••••••••• F•••••••• S•••••••• L•• national BDMay 22, 2014 to Apr 11, 2016 · Orland Park, Il
- C••• S••••••••• C••••••••• formerMay 15, 2009 to May 19, 2014 · Crown Point, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 4, 2006 to May 21, 2009 · M••••••Ville, In
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Apr 11, 2016, registered Apr 22, 2016 (11 days) · Affiliated broker-dealer or bank to another
- C••• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left May 19, 2014, registered May 22, 2014 (3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• S••••••••• C•••••••••left May 21, 2009, registered May 15, 2009 (-6 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address