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.
D•••• W•••••• M•••••••
- S•••••••• I••••••••• S••••••••• I••• independent RIA currentsince Aug 31, 2018 · Orland Park, Il
- F•••• F•••••••• M••••••••• L• independent RIAApr 14, 2021 to May 26, 2021 · Orland Park, Il
- H••••••••• F•••••••• A••••••• BD affiliatedJan 17, 2018 to Jul 30, 2018 · Orland Park, Il
- B•• H••••• F•••••••• A•••••••• I•• formerSep 18, 2013 to Dec 18, 2017 · Chicago, Il
- F•••• F•••••••• M••••••••• L• to no registered destinationleft May 26, 2021 · Departure, no registered destination
- H••••••••• F•••••••• A••••••• to S•••••••• I••••••••• S••••••••• I•••left Jul 30, 2018, registered Aug 31, 2018 (32 days) · Affiliated broker-dealer or bank to independent RIA
- B•• H••••• F•••••••• A•••••••• I•• to H••••••••• F•••••••• A•••••••left Dec 18, 2017, registered Jan 17, 2018 (30 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address