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••••• S•••••• wirehouse currentsince Oct 25, 2024 · Chicago, Il
- O••••••••• • C•• I••• BD affiliatedAug 10, 2023 to Oct 11, 2024 · Chicago, Il
- W•••• F•••• A••••••• wirehouseMay 5, 2014 to Aug 14, 2023 · Oak Brook, Il
- O••••••••• • C•• I••• to M••••• S••••••left Oct 11, 2024, registered Oct 25, 2024 (14 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Aug 14, 2023, registered Aug 10, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• W••••• left O••••••••• • C•• I••• for M••••• S•••••• (registered 2024-10-25)Oct 11, 2024 · Advisor changed firm · fact
- W•••• W••••• left W•••• F•••• A••••••• for O••••••••• • C•• I••• (registered 2023-08-10)Aug 14, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address