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••••• T••••• K••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Oct 31, 2024 · Lake Forest, Il
- W•••• F•••• A••••••• wirehouseJun 8, 2017 to Jul 17, 2024 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseJul 14, 2009 to Jun 12, 2017 · New York, Ny
- D••••••• B••• S••••••••• I••• no RAUMApr 5, 2005 to Mar 16, 2009 · Chicago, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 18, 2003 to Apr 5, 2005 · Chicago, Il
- B••• O• A•••••• S••••••••• L•• unclassifiedAug 1, 2000 to Aug 20, 2003 · Chicago, Il
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Jul 17, 2024, registered Oct 31, 2024 (106 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 12, 2017, registered Jun 8, 2017 (-4 days) · Wirehouse to wirehouse
- D••••••• B••• S••••••••• I••• to J••• M••••• S••••••••• L••left Mar 16, 2009, registered Jul 14, 2009 (120 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to D••••••• B••• S••••••••• I•••left Apr 5, 2005, registered Apr 5, 2005 (0 days) · Other
- B••• O• A•••••• S••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 20, 2003, registered Aug 18, 2003 (-2 days) · corporate re-registration, not a move
- E••••• T••••• K•••••• left W•••• F•••• A••••••• for J••••• M••••••••• S•••• L•• (registered 2024-10-31)Jul 17, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address