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.
E•••• F•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 13, 2023 · Northbrook, Il
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedDec 5, 2019 to Oct 6, 2023 · Itasca, Il
- L•• F•••••••• L•• BD affiliatedOct 7, 2019 to Oct 7, 2019 · Itasca, Il
- W••••• E••••••••• A••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 6, 2023, registered Nov 13, 2023 (38 days) · RIA to wirehouse
- L•• F•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 7, 2019, registered Dec 5, 2019 (59 days) · Affiliated broker-dealer or bank to another
- E•••• F••••••• left W••••• E••••••••• A••••••• S•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-11-13)Oct 6, 2023 · 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address