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.
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K••••••• H• H••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Mar 29, 2019 · Chicago, Il
- I••••••••• F•••••••• P••••••• BD affiliatedMar 30, 2017 to Apr 4, 2019 · Chicago, Il
- M•••••• F•••••••• S•••••••• I••• unclassifiedMay 21, 2013 to Mar 28, 2017 · Elgin, Il
- 1•• G••••• A••••••• I•• formerFeb 22, 2013 to Mar 30, 2017 · Elgin, Il
- W••••• H••••• I••••••••• A••••••• L•• formerJun 2, 2010 to Feb 22, 2013 · San Mateo, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Jan 27, 2010 · Libertyville, Il
- J••• M••••• S••••••••• I••• unclassifiedFeb 4, 2008 to Oct 1, 2008 · Libertyville, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 18, 2007 to Dec 6, 2007 · Chicago, Il
- I••••••••• F•••••••• P••••••• to I•• W••••• M••••••••• L••left Apr 4, 2019, registered Mar 29, 2019 (-6 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- 1•• G••••• A••••••• I•• to M•••••• F•••••••• S•••••••• I•••left Mar 30, 2017, registered May 21, 2013 (-1409 days) · Other · moved with a team
- M•••••• F•••••••• S•••••••• I••• to I••••••••• F•••••••• P•••••••left Mar 28, 2017, registered Mar 30, 2017 (2 days) · Other · moved with a team
- W••••• H••••• I••••••••• A••••••• L•• to 1•• G••••• A••••••• I••left Feb 22, 2013, registered Feb 22, 2013 (0 days) · Other
- J••• M••••• S••••••••• L•• to W••••• H••••• I••••••••• A••••••• L••left Jan 27, 2010, registered Jun 2, 2010 (126 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• I•••left Dec 6, 2007, registered Feb 4, 2008 (60 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address