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•••••••• G••••••••
- P••••••••• L•• state registered currentsince May 22, 2018 · Des Plaines, Il
- P••••••••• L•• state registeredMay 22, 2018 to Dec 31, 2021 · Des Plaines, Il
- L•• F•••••••• L•• BD affiliatedApr 27, 2016 to Oct 30, 2023 · Rosemont, Il
- A•••• W••••• A•••••••• L•• BD affiliatedFeb 20, 2014 to Apr 28, 2016 · Chicago, Il
- C••••••••• F•••••••• N•••••• national BDJan 6, 2010 to Feb 21, 2014 · Oakbrook, Il
- N•• E•••••• S••••••••• C••••••••• formerSep 5, 2008 to Sep 23, 2008 · Chicago, Il
- L•• F•••••••• L•• to P••••••••• L••left Oct 30, 2023, registered May 22, 2018 (-1987 days) · Affiliated broker-dealer or bank to a state-registered adviser
- A•••• W••••• A•••••••• L•• to L•• F•••••••• L••left Apr 28, 2016, registered Apr 27, 2016 (-1 days) · Other
- C••••••••• F•••••••• N•••••• to A•••• W••••• A•••••••• L••left Feb 21, 2014, registered Feb 20, 2014 (-1 days) · Other
- N•• E•••••• S••••••••• C••••••••• to C••••••••• F•••••••• N••••••left Sep 23, 2008, registered Jan 6, 2010 (470 days) · Other
- K•••••••• G•••••••• left L•• F•••••••• L•• for P••••••••• L•• (registered 2018-05-22)Oct 30, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address