RIA Intelligence

• M•• S••••••••• L•• no RAUM current
  since Apr 1, 2020 · Schaumburg, Il
• K••••• A••••••• S•••••••• L•• BD affiliated
  Apr 18, 2016 to Jul 1, 2020 · Chicago, Il
• N•• A•••••• S•••••••• L•• former
  Sep 30, 2014 to Sep 22, 2016 · Schaumburg, Il
• U•• A••••••• institutional
  Mar 9, 2012 to Jul 31, 2014 · Chicago, Il
• S••••••• I••••••••• A•••••••• I••• other
  Feb 17, 2009 to Dec 16, 2011 · Schaumburg, Il

• K••••• A••••••• S•••••••• L•• to M•• S••••••••• L••
  left Jul 1, 2020, registered Apr 1, 2020 (-91 days) · Other · moved with a team
• N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
  left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
• U•• A••••••• to N•• A•••••• S•••••••• L••
  left Jul 31, 2014, registered Sep 30, 2014 (61 days) · Other
• S••••••• I••••••••• A•••••••• I••• to U•• A•••••••
  left Dec 16, 2011, registered Mar 9, 2012 (84 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

No RAUM reportedderived

Years in industry

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address