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.
G•• L••••••• F•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 15, 2017 · Oak Brook, Il
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Feb 21, 2017 · Chicago, Il
- N•• E•••••• S••••••••• C••••••••• formerJan 23, 1998 to Jan 2, 2015 · Chicago, Il
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 21, 2017, registered Feb 15, 2017 (-6 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 52derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address