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•••• J••••• D••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jun 30, 2021 · Chicago, Il
- M••••• S•••••• wirehouseOct 19, 2012 to Feb 7, 2020 · Chicago, Il
- W••••••• I••••••••• formerFeb 27, 2012 to Sep 10, 2012 · Highland Park, Il
- R•••• A••••••• S•••••••• I••• independent RIAJan 30, 2007 to Jan 6, 2011 · Glenview, Il
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Feb 7, 2020, registered Jun 30, 2021 (509 days) · Wirehouse to wirehouse · moved with a team
- W••••••• I••••••••• to M••••• S••••••left Sep 10, 2012, registered Oct 19, 2012 (39 days) · Other
- R•••• A••••••• S•••••••• I••• to W••••••• I•••••••••left Jan 6, 2011, registered Feb 27, 2012 (417 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address