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.
W•••••• B••••••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Oct 17, 2023 · Waltham, Ma
- C••••••• P••••••• independent RIADec 6, 2021 to Feb 4, 2022 · Rockford, Il
- H••••••• W•• A•••••••• L••••• formerJun 16, 2020 to Dec 3, 2021 · Rockford, Il
- E••••• J•••• national BDJul 23, 2019 to Jan 7, 2020 · St Louis, Mo
- C••••••• P••••••• to I••••••••• W••••• C••••••• L••left Feb 4, 2022, registered Oct 17, 2023 (620 days) · RIA to RIA
- H••••••• W•• A•••••••• L••••• to C••••••• P•••••••left Dec 3, 2021, registered Dec 6, 2021 (3 days) · RIA to RIA · moved with a team
- E••••• J•••• to H••••••• W•• A•••••••• L•••••left Jan 7, 2020, registered Jun 16, 2020 (161 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• B•••••• left C••••••• P••••••• for I••••••••• W••••• C••••••• L•• (registered 2023-10-17)Feb 4, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address