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.
C•••••• D•••• B••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jan 14, 2021 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 14, 2011 to Jan 15, 2021 · Chicago, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthOct 18, 2011 to Dec 5, 2011 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Jan 15, 2021, registered Jan 14, 2021 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• F•••••••• I••••••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 5, 2011, registered Dec 14, 2011 (9 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