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.
R•••• H• S••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 23, 2017 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseFeb 4, 2016 to Feb 23, 2017 · Palos Heights, Il
- C••••• S••••• S••••••••• •••• L•• formerMar 26, 2013 to Mar 2, 2016 · Chicago, Il
- A••••••••• L••• otherJun 12, 2012 to Feb 27, 2013 · Chicago, Il
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Feb 23, 2017, registered Mar 23, 2017 (28 days) · Wirehouse to wirehouse
- C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••left Mar 2, 2016, registered Feb 4, 2016 (-27 days) · corporate re-registration, not a move
- A••••••••• L••• to C••••• S••••• S••••••••• •••• L••left Feb 27, 2013, registered Mar 26, 2013 (27 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