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••••• K•••••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Mar 6, 2017 · Northbrook, Il
- C•• F•••••••• A•••••••• L•• formerApr 15, 2011 to Mar 1, 2017 · Northbrook, Il
- P•••••• V••••• L•• formerJan 14, 2010 to Mar 24, 2011 · Chicago, Il
- C•• F•••••••• A•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Mar 1, 2017, registered Mar 6, 2017 (5 days) · Other · moved with a team
- P•••••• V••••• L•• to C•• F•••••••• A•••••••• L••left Mar 24, 2011, registered Apr 15, 2011 (22 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address