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.
K•••• J••••• M•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 15, 2013 · Itasca, Il
- L•• F•••••••• L•• BD affiliatedNov 15, 2013 to Apr 9, 2021 · Itasca, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Nov 18, 2013 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 23, 2004 to Jan 2, 2009 · Itasca, Il
- S••••• W••••• A••••••• L•• unclassifiedMar 7, 2002 to Dec 10, 2013 · Itasca, Il
- L•• F•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Apr 9, 2021, registered Nov 15, 2013 (-2702 days) · Other
- S••••• W••••• A••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Dec 10, 2013, registered Apr 23, 2004 (-3518 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Nov 18, 2013, registered Nov 15, 2013 (-3 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address