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.
A••••• K••• M••••••
- S••••• I••••••••• I••• state registered currentsince Feb 28, 2020 · Columbus, Oh
- T••••••••• unclassifiedApr 27, 2015 to May 29, 2020 · Chicago, Il
- B••••••••• L•• formerDec 9, 2009 to Sep 7, 2012 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseOct 7, 2008 to May 13, 2009 · Columbus, Oh
- T••••••••• to S••••• I••••••••• I•••left May 29, 2020, registered Feb 28, 2020 (-91 days) · Other · moved with a team
- B••••••••• L•• to T•••••••••left Sep 7, 2012, registered Apr 27, 2015 (962 days) · Other
- U•• F•••••••• S••••••• I••• to B••••••••• L••left May 13, 2009, registered Dec 9, 2009 (210 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address