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.
J••• K• C••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 19, 2018 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJun 19, 2017 to Oct 10, 2018 · Schaumburg, Il
- J••• M••••• S••••••••• L•• wirehouseFeb 22, 2016 to Feb 14, 2017 · Chicago, Il
- M••••• S•••••• wirehouseMay 28, 2015 to Mar 4, 2016 · Oak Brook, Il
- W•••• F•••• A••••••• wirehouseDec 12, 2012 to Apr 21, 2015 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 25, 2011 to Nov 21, 2012 · Rockford, Il
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Oct 10, 2018, registered Oct 19, 2018 (9 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Feb 14, 2017, registered Jun 19, 2017 (125 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left Mar 4, 2016, registered Feb 22, 2016 (-11 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Apr 21, 2015, registered May 28, 2015 (37 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Nov 21, 2012, registered Dec 12, 2012 (21 days) · Wirehouse to wirehouse
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address