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.
N•••••• M••••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jun 18, 2021 · Oakbrook Terrace, Il
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJul 15, 2019 to Mar 9, 2020 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 23, 2016 to May 15, 2018 · Oak Brook, Il
- M••••• S•••••• wirehouseApr 4, 2016 to Jan 3, 2017 · Chicago, Il
- A••••••• F•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Mar 9, 2020, registered Jun 18, 2021 (466 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• F•••••••• A•••••••• L••left May 15, 2018, registered Jul 15, 2019 (426 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 3, 2017, registered Dec 23, 2016 (-11 days) · Wirehouse to wirehouse
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address