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• G••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 6, 2021 · Braintree, Ma
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 21, 2017 to Jan 21, 2020 · Oak Brook, Il
- H•••••• T••••••• • K•••• L•• independent RIAOct 27, 2014 to Jan 20, 2017 · Chicago, Il
- N••••••••• M••••• I••••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 21, 2020, registered Jan 6, 2021 (351 days) · Other
- H•••••• T••••••• • K•••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jan 20, 2017, registered Mar 21, 2017 (60 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address