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.
E••••• A•••••• C••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Oak Brook, Il
- S••••• F•••••••• G•••• I•• formerSep 17, 2019 to May 20, 2021 · Oak Brook, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 20, 2015 to Sep 9, 2019 · Oak Brook, Il
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerSep 23, 2011 to Nov 13, 2015 · Oak Brook, Il
- W•••••• S••••••••• C••••••••• unclassifiedDec 20, 2006 to Sep 28, 2011 · Oak Brook, Il
- 1••• C•••••• M••••••••• C•••••• unclassifiedMar 8, 1998 to Jan 3, 2007 · Downers Grove, Il
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to S••••• F•••••••• G•••• I••left Sep 9, 2019, registered Sep 17, 2019 (8 days) · Affiliated broker-dealer or bank to another
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Nov 13, 2015, registered Oct 20, 2015 (-24 days) · corporate re-registration, not a move
- W•••••• S••••••••• C••••••••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Sep 28, 2011, registered Sep 23, 2011 (-5 days) · Other
- 1••• C•••••• M••••••••• C•••••• to W•••••• S••••••••• C•••••••••left Jan 3, 2007, registered Dec 20, 2006 (-14 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address