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.
Y•••••• S•••••
- R•••• S••••• A•••••••• L•• independent RIA currentsince Mar 26, 2019 · Aurora, Il
- L•• F•••••••• L•• BD affiliatedAug 31, 2015 to Apr 22, 2019 · Aurora, Il
- R•••• S••••• A•••••••• L•• independent RIAMay 28, 2015 to Feb 11, 2016 · Aurora, Il
- L•• F•••••••• L•• to R•••• S••••• A•••••••• L••left Apr 22, 2019, registered Mar 26, 2019 (-27 days) · Other
- R•••• S••••• A•••••••• L•• to L•• F•••••••• L••left Feb 11, 2016, registered Aug 31, 2015 (-164 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address