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.
C••••• B•••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 9, 2018 · Frankfort, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 18, 2017 to Mar 1, 2018 · C••••••, Il
- S•• I••••••••• I••• formerOct 2, 2013 to Sep 8, 2017 · Crown Point, In
- C•••••• C•••••• M••••••••• A•••••••• L•• independent RIAJun 10, 2013 to Nov 12, 2013 · Lisle, Il
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Mar 1, 2018, registered Apr 9, 2018 (39 days) · Other
- S•• I••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Sep 8, 2017, registered Oct 18, 2017 (40 days) · Other
- C•••••• C•••••• M••••••••• A•••••••• L•• to S•• I••••••••• I•••left Nov 12, 2013, registered Oct 2, 2013 (-41 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address