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••••• S•••••• wirehouse currentsince Nov 5, 2015 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerMar 9, 2012 to Dec 1, 2015 · Chicago, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 3, 2010 to May 24, 2011 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDJan 8, 2008 to Apr 11, 2008 · Downers Grove, Il
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Dec 1, 2015, registered Nov 5, 2015 (-26 days) · Other · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to C••••• S••••• S••••••••• •••• L••left May 24, 2011, registered Mar 9, 2012 (290 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Apr 11, 2008, registered Jun 3, 2010 (783 days) · Other
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address