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•••••• M••••• M•••••
- B••••••• • C•• W••••• M••••••••• L•• independent RIA currentsince Dec 13, 2019 · Chicago, Il
- N••••••••• A•••• M••••••••• L•• independent RIAJan 4, 2016 to Oct 14, 2019 · Chicago, Il
- C••• C••••••• L•• independent RIASep 13, 2012 to Aug 28, 2015 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Oct 10, 2011 · Chicago, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 1, 2008 to Oct 23, 2009 · Chicago, Il
- N••••••••• A•••• M••••••••• L•• to B••••••• • C•• W••••• M••••••••• L••left Oct 14, 2019, registered Dec 13, 2019 (60 days) · RIA to RIA
- C••• C••••••• L•• to N••••••••• A•••• M••••••••• L••left Aug 28, 2015, registered Jan 4, 2016 (129 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• C••••••• L••left Oct 10, 2011, registered Sep 13, 2012 (339 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address