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.
W•••••• C••••••••• C••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Apr 17, 2017 · Indianapolis, In
- J••• M••••• S••••••••• L•• wirehouseNov 2, 2016 to Apr 5, 2017 · Zionsville, In
- M••••• S•••••• wirehouseSep 4, 2013 to Oct 31, 2016 · Oak Brook, Il
- W•••••• B•••• • C•••••• L••••• BD affiliatedAug 3, 2011 to Apr 4, 2013 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Jul 27, 2011 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedDec 21, 2007 to Oct 1, 2008 · Chicago, Il
- J••• M••••• S••••••••• L•• to S••••• W••••• A•••••••• I•••left Apr 5, 2017, registered Apr 17, 2017 (12 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left Oct 31, 2016, registered Nov 2, 2016 (2 days) · Wirehouse to wirehouse
- W•••••• B•••• • C•••••• L••••• to M••••• S••••••left Apr 4, 2013, registered Sep 4, 2013 (153 days) · Other
- J••• M••••• S••••••••• L•• to W•••••• B•••• • C•••••• L•••••left Jul 27, 2011, registered Aug 3, 2011 (7 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
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
- No RAUM reportedderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address