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••• E••••• C••••••
- C••••••••• C•••••• P••••••• independent RIA currentsince Jun 1, 2006 · Hoffman Estates, Il
- L•• F•••••••• L•• BD affiliatedMar 2, 2006 to Nov 23, 2009 · Elgin, Il
- R•• C•••••• M••••••• L•• national BDNov 12, 2003 to Nov 18, 2005 · Boston, Ma
- W•••• F•••• A••••••• wirehouseDec 26, 2001 to May 20, 2003 · Downers Grove, Il
- L•• F•••••••• L•• to C••••••••• C•••••• P•••••••left Nov 23, 2009, registered Jun 1, 2006 (-1271 days) · Other
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Nov 18, 2005, registered Mar 2, 2006 (104 days) · Other
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 20, 2003, registered Nov 12, 2003 (176 days) · Wirehouse to affiliated broker-dealer or bank
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address