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.
T••••• A• T••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 18, 2019 · Wheaton, Il
- C••• B•••••••• S•••••••• I••• formerFeb 29, 2016 to Nov 25, 2019 · Waverly, Ia
- D•• W••••• M••••••••• L•• state registeredAug 16, 2013 to Dec 10, 2015 · Bartlett, Il
- T•••••••• A••••••• G••••• I••• BD affiliatedAug 22, 2012 to Jul 31, 2013 · Bartlett, Il
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 25, 2019, registered Oct 18, 2019 (-38 days) · Affiliated broker-dealer or bank to another
- D•• W••••• M••••••••• L•• to C••• B•••••••• S•••••••• I•••left Dec 10, 2015, registered Feb 29, 2016 (81 days) · Other
- T•••••••• A••••••• G••••• I••• to D•• W••••• M••••••••• L••left Jul 31, 2013, registered Aug 16, 2013 (16 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address