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.
V••••• L••• P••••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Aug 4, 2022 · Columbus, Oh
- M••••••••• R••••••••• BD affiliatedJul 17, 2019 to Jul 27, 2022 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseMay 17, 2018 to Jul 10, 2019 · Chicago, Il
- S••••••• I••••••••• I••• formerJun 20, 2014 to Feb 5, 2018 · Rosemont, Il
- M•• F•••••••• S•••••••• I••• formerOct 4, 2012 to Jun 25, 2014 · Chicago, Il
- M••••••••• R••••••••• to N••••••••• I••••••••• A•••••••• L••left Jul 27, 2022, registered Aug 4, 2022 (8 days) · Other
- J••• M••••• S••••••••• L•• to M••••••••• R•••••••••left Jul 10, 2019, registered Jul 17, 2019 (7 days) · Other
- S••••••• I••••••••• I••• to J••• M••••• S••••••••• L••left Feb 5, 2018, registered May 17, 2018 (101 days) · Other
- M•• F•••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Jun 25, 2014, registered Jun 20, 2014 (-5 days) · Other
- V••••• L••• P•••• left M••••••••• R••••••••• for N••••••••• I••••••••• A•••••••• L•• (registered 2022-08-04)Jul 27, 2022 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address