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.
G•••••• P•••••• S•••••••
- Z•••• I••••••••• M••••••••• I••• mixed wealth currentsince Mar 31, 2021 · Chicago, Il
- D••••••• P••••••• L••••• mixed wealthSep 11, 2019 to Jun 16, 2020 · Chicago, Il
- W•••• F•••• A••••••• wirehouseMay 31, 2018 to Dec 3, 2018 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 9, 2018 to May 10, 2018 · Swansea, Il
- D••••••• P••••••• L••••• to Z•••• I••••••••• M••••••••• I•••left Jun 16, 2020, registered Mar 31, 2021 (288 days) · Other
- W•••• F•••• A••••••• to D••••••• P••••••• L•••••left Dec 3, 2018, registered Sep 11, 2019 (282 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left May 10, 2018, registered May 31, 2018 (21 days) · Wirehouse to wirehouse
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address