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.
R••••• A• B•••
- L•• F•••••••• L•• BD affiliated currentsince Jun 30, 2022 · Oak Brook, Il
- H•••••• W••••• M••••••••• independent RIAApr 15, 2014 to Aug 23, 2022 · La Grange, Il
- H•••••• W••••• M••••••••• to L•• F•••••••• L••left Aug 23, 2022, registered Jun 30, 2022 (-54 days) · RIA to RIA · moved with a team
- R••••• A• B••• left H•••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2022-06-30)Aug 23, 2022 · Advisor changed firm · fact
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