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.
G••••• S•••• A•••••••
- N••••••• T•••• S••••••••• I•• BD affiliated currentsince Dec 17, 2021 · Lincolnwood, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Dec 10, 2021 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 26, 2017 to Jul 13, 2018 · Oak Brook, Il
- U••• B•••••• I••••••••• I••• formerSep 8, 2014 to Feb 17, 2017 · Lombard, Il
- L•• F•••••••• L•• BD affiliatedSep 18, 2013 to Sep 5, 2014 · Glenview, Il
- F••••••••• A•••••••• I••• unclassifiedJun 17, 2013 to Sep 18, 2013 · Norridge, Il
- P•• W••••• M••••••••• BD affiliatedSep 26, 2012 to Jun 17, 2013 · Naperville, Il
- F•••• T•••• S••••••••• I••• BD affiliatedOct 11, 2011 to Sep 13, 2012 · Oak Lawn, Il
- F••••••• P••••••• A•• W•••••••• A••••••• to N••••••• T•••• S••••••••• I••left Dec 10, 2021, registered Dec 17, 2021 (7 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to S•••••••• A••••••• L••left Feb 17, 2017, registered Jan 26, 2017 (-22 days) · Other
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Sep 5, 2014, registered Sep 8, 2014 (3 days) · Other
- F••••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 18, 2013, registered Sep 18, 2013 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to F••••••••• A•••••••• I•••left Jun 17, 2013, registered Jun 17, 2013 (0 days) · Other
- F•••• T•••• S••••••••• I••• to P•• W••••• M•••••••••left Sep 13, 2012, registered Sep 26, 2012 (13 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address