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.
N••••••• J•••• D•••••••
- D••••••• W••••• A••••••• state registered currentsince Feb 2, 2023 · Mchenry, Il
- N•••••• F•••••••• G••••• I••• independent RIAJun 30, 2011 to Dec 31, 2022 · Cedar Rapids, Ia
- W•••• F•••• A••••••• wirehouseNov 18, 2005 to Jul 1, 2011 · Crystal Lake, Il
- M••••• S•••••• D• I••• unclassifiedMar 24, 1998 to Nov 21, 2005 · Crystal Lake, Il
- N•••••• F•••••••• G••••• I••• to D••••••• W••••• A•••••••left Dec 31, 2022, registered Feb 2, 2023 (33 days) · RIA to a state-registered adviser
- W•••• F•••• A••••••• to N•••••• F•••••••• G••••• I•••left Jul 1, 2011, registered Jun 30, 2011 (-1 days) · Other
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Nov 21, 2005, registered Nov 18, 2005 (-3 days) · Other
- N••••••• J•••• D••••••• left N•••••• F•••••••• G••••• I••• for D••••••• W••••• A••••••• (registered 2023-02-02)Dec 31, 2022 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address