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.
A••••••• L••••• H••••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince Mar 19, 2019 · Chicago, Il
- M••••• S•••••• wirehouseSep 11, 2014 to Mar 19, 2019 · Oak Brook, Il
- E••••• J•••• national BDAug 2, 2011 to Sep 19, 2013 · Normal, Il
- M••••• S•••••• to W•••••• B•••• • C•••••• L•••••left Mar 19, 2019, registered Mar 19, 2019 (0 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M••••• S••••••left Sep 19, 2013, registered Sep 11, 2014 (357 days) · Affiliated broker-dealer or bank 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address