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.
P•••• M•••••• L••••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Oct 7, 2016 · Mchenry, Il
- W•••• E••••• G••••• I••• BD affiliatedOct 15, 2014 to Sep 19, 2016 · Schaumburg, Il
- F•••• T•••• S••••••••• I••• BD affiliatedAug 2, 2012 to Sep 8, 2014 · Skokie, Il
- W•••• E••••• G••••• I••• to L•••••• S•• I••••••••• A•••••••• L•••••left Sep 19, 2016, registered Oct 7, 2016 (18 days) · Other
- F•••• T•••• S••••••••• I••• to W•••• E••••• G••••• I•••left Sep 8, 2014, registered Oct 15, 2014 (37 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