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.
L••••••• T••••• G•••••• K•••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 30, 2022 · Red Bank, Nj
- T• A••••••••• I••• formerNov 30, 2018 to Oct 14, 2022 · Chicago, Il
- T•••••••• A•••••••• I••• formerSep 13, 2013 to May 11, 2021 · Chicago, Il
- T•••••••• A•••••••• I••• formerJun 21, 2010 to Sep 13, 2013 · Chicago, Il
- T••••••••• A•••••••• I••• unclassifiedFeb 19, 2010 to Aug 6, 2010 · Chicago, Il
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Aug 30, 2022 (-45 days) · channel change inside one enterprise, not a move · moved with a team
- T•••••••• A•••••••• I••• to T• A••••••••• I•••left May 11, 2021, registered Nov 30, 2018 (-893 days) · channel change inside one enterprise, not a move · moved with a team
- T••••••••• A•••••••• I••• to T•••••••• A•••••••• I•••left Aug 6, 2010, registered Jun 21, 2010 (-46 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address