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••••• P•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 27, 2022 · Lake Forest, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 3, 2013 to Apr 28, 2022 · Northbrook, Il
- M••• I••••••••• S••••••••• I••• independent RIAJan 15, 2013 to Mar 15, 2013 · Northfield, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 28, 2022, registered Apr 27, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••• I••••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 15, 2013, registered Apr 3, 2013 (19 days) · Other
- M••••• P••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2022-04-27)Apr 28, 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address