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 Mar 28, 2013 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseAug 6, 2010 to Apr 17, 2012 · Chicago, Il
- C•••• I••••••••• S••••••• C•••• formerMar 16, 2010 to Aug 10, 2010 · Bloomington, In
- J••• M••••• S••••••••• L•• to M••••• S••••••left Apr 17, 2012, registered Mar 28, 2013 (345 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Aug 10, 2010, registered Aug 6, 2010 (-4 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