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•••••• J••• A••••
- G••••••• F•••••••• A•••••••• L•• state registered currentsince Aug 6, 2012 · Mequon, Wi
- B••••••• A•••• S••••••••• L••• formerMay 19, 2010 to Oct 9, 2012 · La Grange, Il
- C••••••••• F•••••••• N•••••• national BDAug 26, 2008 to May 17, 2010 · Lombard, Il
- L•• F•••••••• L•• BD affiliatedMar 26, 2007 to Dec 10, 2007 · San Tan Valley, Az
- B••••••• A•••• S••••••••• L••• to G••••••• F•••••••• A•••••••• L••left Oct 9, 2012, registered Aug 6, 2012 (-64 days) · RIA to a state-registered adviser
- C••••••••• F•••••••• N•••••• to B••••••• A•••• S••••••••• L•••left May 17, 2010, registered May 19, 2010 (2 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Dec 10, 2007, registered Aug 26, 2008 (260 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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address