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.
K•••••• S••••
- P••••••• M•••• M••••••••• L•• state registered currentsince May 19, 2020 · Burr Ridge, Il
- S•••••••• A•••• G•••• formerFeb 26, 2019 to Dec 18, 2019 · Oakbrook Terrace, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 31, 2011 to Jan 17, 2019 · Northbrook, Il
- T• A••••••••• I••• formerOct 31, 2011 to Jan 17, 2019 · Northbrook, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 20, 2007 to Feb 25, 2011 · New York, Ny
- S•••••••• A•••• G•••• to P••••••• M•••• M••••••••• L••left Dec 18, 2019, registered May 19, 2020 (153 days) · RIA to a state-registered adviser
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 17, 2019, registered Oct 31, 2011 (-2635 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 17, 2019, registered Oct 31, 2011 (-2635 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Feb 25, 2011, registered Oct 31, 2011 (248 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address