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.
S••••• I••••• R••••
- R•• C•••••• M••••••• L•• national BD currentsince Sep 29, 2023 · Oakbrook Terrace, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Sep 30, 2023 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedFeb 26, 2008 to Oct 1, 2008 · Hinsdale, Il
- J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••left Sep 30, 2023, registered Sep 29, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- S••••• I••••• R•••• left J••• M••••• S••••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-09-29)Sep 30, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address