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.
L•••• R•••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 13, 2021 · New York, Ny
- N••••••• T•••• S••••••••• I•• BD affiliatedJan 5, 2021 to Oct 4, 2021 · Chicago, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 30, 2019 to Apr 2, 2020 · Chicago, Il
- T• A••••••••• I••• formerSep 30, 2019 to Apr 2, 2020 · Chicago, Il
- N••••••• T•••• S••••••••• I•• to U•• F•••••••• S••••••• I•••left Oct 4, 2021, registered Oct 13, 2021 (9 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to N••••••• T•••• S••••••••• I••left Apr 2, 2020, registered Jan 5, 2021 (278 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 2, 2020, registered Sep 30, 2019 (-185 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address