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.
J••• P•••••• H•••••
- C•••••••• W••••• M••••••••• L•• former currentsince Jun 13, 2019 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2016 to Jun 14, 2019 · Chicago, Il
- W•••••• B•••• • C•••••• L••••• BD affiliatedMar 13, 2013 to Jul 29, 2016 · Chicago, Il
- M••••• S•••••• wirehouseJan 25, 2010 to Apr 2, 2013 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• W••••• M••••••••• L••left Jun 14, 2019, registered Jun 13, 2019 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••••• B•••• • C•••••• L••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 29, 2016, registered Jul 27, 2016 (-2 days) · Other
- M••••• S•••••• to W•••••• B•••• • C•••••• L•••••left Apr 2, 2013, registered Mar 13, 2013 (-20 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
- Former SEC-registered adviserderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address