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.
B•••••• L•• C•••
- W•••• F•••• A••••••• wirehouse currentsince Nov 16, 2017 · Champaign, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 2, 2016 to Nov 17, 2017 · Springfield, Il
- M••••••••• S••••••••• T•••••• C•••••• independent RIAAug 6, 2014 to Aug 26, 2016 · East Peoria, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Nov 17, 2017, registered Nov 16, 2017 (-1 days) · Wirehouse to wirehouse · moved with a team
- M••••••••• S••••••••• T•••••• C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 26, 2016, registered Sep 2, 2016 (7 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address