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.
D••••• E••••• K••••
- A• W••••• M••••••••• L•• BD affiliated currentsince Jan 20, 2023 · Normal, Il
- H••••• I••••••••• M••••••••• L•• independent RIANov 14, 2016 to Feb 7, 2018 · Normal, Il
- R•••••• W••••• A•••••••• I••• independent RIAJun 3, 2011 to Mar 6, 2014 · Normal, Il
- C••••• A•••••• N••••••• L•• formerApr 14, 2011 to May 19, 2011 · Madison, Wi
- M•••• D••••• unclassifiedSep 28, 2010 to Aug 1, 2011 · Normal, Il
- A••••••• A••••••• S••••••• formerJan 3, 2005 to Jul 15, 2010 · Glenview, Il
- E•••• O•• I••••••••• L•• unclassifiedAug 6, 2004 to Sep 1, 2004 · Normal, Il
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedMar 4, 2002 to Jun 22, 2004 · Normal, Il
- H••••• I••••••••• M••••••••• L•• to A• W••••• M••••••••• L••left Feb 7, 2018, registered Jan 20, 2023 (1808 days) · Other
- R•••••• W••••• A•••••••• I••• to H••••• I••••••••• M••••••••• L••left Mar 6, 2014, registered Nov 14, 2016 (984 days) · Other
- M•••• D••••• to C••••• A•••••• N••••••• L••left Aug 1, 2011, registered Apr 14, 2011 (-109 days) · Other
- C••••• A•••••• N••••••• L•• to R•••••• W••••• A•••••••• I•••left May 19, 2011, registered Jun 3, 2011 (15 days) · Other
- A••••••• A••••••• S••••••• to M•••• D•••••left Jul 15, 2010, registered Sep 28, 2010 (75 days) · Other
- E•••• O•• I••••••••• L•• to A••••••• A••••••• S•••••••left Sep 1, 2004, registered Jan 3, 2005 (124 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to E•••• O•• I••••••••• L••left Jun 22, 2004, registered Aug 6, 2004 (45 days) · Other
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
- 50derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address