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.
M•••••• A••• R•••
- C••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince May 29, 2018 · Chicago, Il
- C•••• C••••••• L•• formerFeb 10, 2015 to May 7, 2018 · Glen Ellyn, Il
- G••• H••••• F•••••••• formerJun 6, 2013 to Jan 2, 2015 · Chicago, Il
- G••• H••••• F•••••••• formerNov 2, 2010 to Dec 22, 2011 · Barrington, Il
- C•••• C••••••• L•• to C••• P•••••• W••••• A•••••••• I•••left May 7, 2018, registered May 29, 2018 (22 days) · RIA to affiliated broker-dealer or bank
- G••• H••••• F•••••••• to C•••• C••••••• L••left Jan 2, 2015, registered Feb 10, 2015 (39 days) · Other · moved with a team
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