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.
P•••••• A•••• D•••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Jul 15, 2024 · Elmhurst, Il
- S•••••• N••••••• • C••••••• I••••••••• national BDMay 22, 2009 to Jul 16, 2024 · Succasunna, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedSep 19, 2005 to May 28, 2009 · Bedminster, Nj
- S•••••• N••••••• • C••••••• I••••••••• to L•••••• S•• I••••••••• A•••••••• L•••••left Jul 16, 2024, registered Jul 15, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••••• M••••••••• S•••• L•• to S•••••• N••••••• • C••••••• I•••••••••left May 28, 2009, registered May 22, 2009 (-6 days) · Other
- Patrick Allen Daly left Stifel, Nicolaus & Company, Incorporated for Lasalle St. Investment Advisors, L.L.C. (registered 2024-07-15)Jul 16, 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address