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.
P•••••• S•••••
- H••••• C•••••• A•••••••• I••• asset manager currentsince Aug 13, 2024 · Chicago, Il
- C•••••• independent RIADec 14, 2022 to Jun 6, 2023 · Itasca, Il
- B••••• D••••••• F•••• L•• formerFeb 2, 2021 to Mar 31, 2023 · Itasca, Il
- C•••••• S••••• • C••• I••• national BDDec 9, 2019 to Nov 16, 2020 · Indianapolis, In
- C•••••• to H••••• C•••••• A•••••••• I•••left Jun 6, 2023, registered Aug 13, 2024 (434 days) · Other
- B••••• D••••••• F•••• L•• to C••••••left Mar 31, 2023, registered Dec 14, 2022 (-107 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to B••••• D••••••• F•••• L••left Nov 16, 2020, registered Feb 2, 2021 (78 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••• S••••• left Corient for H••••• C•••••• A•••••••• I••• (registered 2024-08-13)Jun 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address