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.
B•••••• S•••• J•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 24, 2012 · Davenport, Ia
- F•••• T•••• S••••••••• I••• BD affiliatedMar 12, 2012 to Sep 6, 2012 · Rockford, Il
- A••••••••• I••••••••• S•••••••• I••• independent RIAFeb 2, 2012 to Feb 22, 2012 · Rockford, Il
- C••• B•••••••• S•••••••• I••• formerFeb 5, 2010 to Sep 15, 2010 · Indianapolis, In
- C••••• I••••••••• S••••••• L•• formerApr 17, 2006 to Jan 26, 2010 · Belvidere, Il
- I••••••••• C•••••• O• A••••••• I••• formerApr 19, 2005 to Nov 29, 2005 · Mcpherson, Ks
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedDec 4, 2002 to Jan 21, 2005 · Belvidere, Il
- I••••• F•••••••• C••••••••• formerJul 21, 1998 to May 3, 2002 · Tampa, Fl
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Sep 6, 2012, registered Aug 24, 2012 (-13 days) · Other
- A••••••••• I••••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Feb 22, 2012, registered Mar 12, 2012 (19 days) · Other
- C••• B•••••••• S•••••••• I••• to A••••••••• I••••••••• S•••••••• I•••left Sep 15, 2010, registered Feb 2, 2012 (505 days) · Other
- C••••• I••••••••• S••••••• L•• to C••• B•••••••• S•••••••• I•••left Jan 26, 2010, registered Feb 5, 2010 (10 days) · Other
- I••••••••• C•••••• O• A••••••• I••• to C••••• I••••••••• S••••••• L••left Nov 29, 2005, registered Apr 17, 2006 (139 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Jan 21, 2005, registered Apr 19, 2005 (88 days) · Other
- I••••• F•••••••• C••••••••• to U•••• F•••••••• S••••••• G••••• I•••left May 3, 2002, registered Dec 4, 2002 (215 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address