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.
T•••• M•••••• A•••• S••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince Apr 28, 2021 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 14, 2020 to Apr 19, 2021 · New York, Ny
- W•••• F•••• A••••••• wirehouseSep 11, 2015 to Dec 26, 2019 · Chicago, Il
- T• A••••••••• I••• formerApr 7, 2015 to Jun 5, 2015 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• B•••• • C•••••• L•••••left Apr 19, 2021, registered Apr 28, 2021 (9 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 26, 2019, registered Aug 14, 2020 (232 days) · Wirehouse to wirehouse
- T• A••••••••• I••• to W•••• F•••• A•••••••left Jun 5, 2015, registered Sep 11, 2015 (98 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address