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•••• G• G•••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Jan 5, 2021 · Schaumburg, Il
- S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• formerAug 15, 2018 to Jan 5, 2021 · Northbrook, Il
- I••••••••• F•••••••• P••••••• BD affiliatedOct 13, 2017 to Dec 31, 2018 · Northbrook, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 28, 2014 to Jul 31, 2017 · Sarasota, Fl
- S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• to I••••••••• F•••••••• P•••••••left Jan 5, 2021, registered Jan 5, 2021 (0 days) · Other
- I••••••••• F•••••••• P••••••• to S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••left Dec 31, 2018, registered Aug 15, 2018 (-138 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• P•••••••left Jul 31, 2017, registered Oct 13, 2017 (74 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