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.
C•••••• L••• E••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 27, 2020 · Chicago , Il
- T• A••••••••• I••• formerFeb 27, 2018 to Mar 24, 2020 · Park Ridge, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Mar 24, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 24, 2017 to Feb 26, 2018 · Saint Louis, Mo
- H•••••• T••••••• • K•••• L•• independent RIAApr 6, 2015 to Aug 20, 2015 · Chicago, Il
- E••••• J•••• national BDFeb 3, 2009 to Jan 7, 2014 · Evanston, Il
- W•••••• • R••• formerFeb 16, 2007 to Jan 26, 2009 · Lisle, Il
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 24, 2020, registered Feb 27, 2018 (-756 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to J••• M••••• S••••••••• L••left Mar 24, 2020, registered May 27, 2020 (64 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- H•••••• T••••••• • K•••• L•• to S•••••••• I••••••••• M•••••••••left Aug 20, 2015, registered Jan 24, 2017 (523 days) · Other
- E••••• J•••• to H•••••• T••••••• • K•••• L••left Jan 7, 2014, registered Apr 6, 2015 (454 days) · Other
- W•••••• • R••• to E••••• J••••left Jan 26, 2009, registered Feb 3, 2009 (8 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