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••••• R••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 24, 2021 · Brookfield, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerJul 5, 2019 to Mar 24, 2021 · Naperville, Il
- E••••• J•••• national BDJun 5, 2018 to Jun 19, 2019 · Montgomery, Il
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- E••••• J•••• to B•• H••••• F•••••••• A•••••••• I••left Jun 19, 2019, registered Jul 5, 2019 (16 days) · Affiliated broker-dealer or bank to another
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address