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.
N••••• B••••••
- F•••• independent RIA currentsince Mar 2, 2021 · West Palm Beach, Fl
- A••••• A•• P••••••• S••••••• BD affiliatedMar 24, 2015 to Nov 13, 2020 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedOct 18, 2013 to Mar 20, 2015 · Roselle, Il
- E••••• J•••• national BDOct 29, 2009 to Oct 22, 2013 · South Elgin, Il
- A••••• A•• P••••••• S••••••• to F••••left Nov 13, 2020, registered Mar 2, 2021 (109 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Mar 20, 2015, registered Mar 24, 2015 (4 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Oct 22, 2013, registered Oct 18, 2013 (-4 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address