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.
D••••• P•••••• F•••••••
- O•••••• W••••• A••••••• L••• state registered currentsince Aug 7, 2012 · Naperville, Il
- D•••• A• N•••• • C•••••• formerAug 29, 2011 to Aug 7, 2012 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 27, 2011 · Oakbrook Terrace, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 5, 2009 to Jun 1, 2009 · Oakbrook Terrace, Il
- D•••• A• N•••• • C•••••• to O•••••• W••••• A••••••• L•••left Aug 7, 2012, registered Aug 7, 2012 (0 days) · Other
- M••••• S•••••• to D•••• A• N•••• • C••••••left Sep 27, 2011, registered Aug 29, 2011 (-29 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address