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 Jan 5, 2015 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 4, 2011 to Jan 5, 2015 · Chicago, Il
- R•••• A••••••• S•••••••• I••• independent RIAMay 31, 2007 to Dec 18, 2007 · Glenview, Il
- A••••••••• F•••••••• S•••••••• L•• national BDOct 10, 2006 to Nov 24, 2006 · Downers Grove, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 5, 2015, registered Jan 5, 2015 (0 days) · Wirehouse to wirehouse · moved with a team
- R•••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 18, 2007, registered Oct 4, 2011 (1386 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to R•••• A••••••• S•••••••• I•••left Nov 24, 2006, registered May 31, 2007 (188 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address