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•••• R••• C•••••••••
- F•••• T•••• A••••••• L• asset manager currentsince Jul 25, 2023 · Wheaton, Il
- E•••••• C•••••• M••••••••• L•• formerOct 4, 2018 to Nov 7, 2019 · Chicago, Il
- E••••• J•••• national BDAug 30, 2017 to Jul 2, 2018 · Naperville, Il
- E•••••• C•••••• M••••••••• L•• to F•••• T•••• A••••••• L•left Nov 7, 2019, registered Jul 25, 2023 (1356 days) · Other
- E••••• J•••• to E•••••• C•••••• M••••••••• L••left Jul 2, 2018, registered Oct 4, 2018 (94 days) · Affiliated broker-dealer or bank to independent RIA
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address