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.
G•••••• P••• W•••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 30, 2020 · Chicago, Il
- P•••••• V••••• L•• formerJul 7, 2015 to Nov 6, 2020 · Oak Brook, Il
- M••••• S•••••• wirehouseFeb 5, 2013 to May 26, 2015 · Omaha, Ne
- P•••••• V••••• L•• to H•••••••• A•••••••• L••left Nov 6, 2020, registered Oct 30, 2020 (-7 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to P•••••• V••••• L••left May 26, 2015, registered Jul 7, 2015 (42 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address