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.
K••••• V••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 15, 2025 · Chicago, Il
- C•••• H••• A••••••••• L•• formerDec 16, 2016 to Nov 12, 2018 · Chicago, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Dec 15, 2016 · Schaumburg, Il
- C••••• I••••••••• S••••••• L•• formerApr 8, 2013 to Jan 21, 2014 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerMay 24, 2010 to Jun 10, 2011 · Chicago, Il
- C•••• H••• A••••••••• L•• to J••• M••••• S••••••••• L••left Nov 12, 2018, registered Jan 15, 2025 (2256 days) · Other
- C••••• I••••••••• A••••••• L•• to C•••• H••• A••••••••• L••left Dec 15, 2016, registered Dec 16, 2016 (1 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- C••••• S••••• S••••••••• •••• L•• to C••••• I••••••••• S••••••• L••left Jun 10, 2011, registered Apr 8, 2013 (668 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address