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.
J••• H••••• C•••••••
- C•••••• W••••• M••••••••• L•• independent RIA currentsince Sep 29, 2023 · Naperville, Il
- E•••••••• A•••••••• L•• national BDAug 8, 2011 to May 15, 2012 · Oak Park, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedJul 9, 2009 to Aug 4, 2010 · Nevada, Ia
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 14, 2002 to Oct 17, 2008 · Chicago, Il
- E•••••••• A•••••••• L•• to C•••••• W••••• M••••••••• L••left May 15, 2012, registered Sep 29, 2023 (4154 days) · Affiliated broker-dealer or bank to independent RIA
- V••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Aug 4, 2010, registered Aug 8, 2011 (369 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••left Oct 17, 2008, registered Jul 9, 2009 (265 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address