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.
W•••• M•••••• J••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Mar 1, 2021 · Plainfield, Il
- W••••••• • C• formerMar 1, 2007 to Mar 16, 2021 · Oakbrook, Il
- J•• F•••••••• G•••• L•• independent RIAJan 20, 1995 to Jan 22, 2007 · Oak Brook, Il
- W••••••• • C• to R••••••••• C•••••• M•••••••••left Mar 16, 2021, registered Mar 1, 2021 (-15 days) · RIA to affiliated broker-dealer or bank · moved with a team
- J•• F•••••••• G•••• L•• to W••••••• • C•left Jan 22, 2007, registered Mar 1, 2007 (38 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address