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.
A•••• S•••••••
- O••••••••• • C•• I••• BD affiliated currentsince Jun 10, 2024 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseNov 30, 2022 to Jun 17, 2024 · Chicago, Il
- O••••••••• • C•• I••• BD affiliatedOct 26, 2020 to Nov 28, 2022 · Chicago, Il
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Jun 17, 2024, registered Jun 10, 2024 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- O••••••••• • C•• I••• to U•• F•••••••• S••••••• I•••left Nov 28, 2022, registered Nov 30, 2022 (2 days) · Affiliated broker-dealer or bank to wirehouse
- A•••• S••••••• left U•• F•••••••• S••••••• I••• for O••••••••• • C•• I••• (registered 2024-06-10)Jun 17, 2024 · Advisor changed firm · fact
- A•••• S••••••• left O••••••••• • C•• I••• for U•• F•••••••• S••••••• I••• (registered 2022-11-30)Nov 28, 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
- 9derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address