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.
J• A•• E•••••••• F••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 18, 2021 · Naples, Fl
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 18, 2016 to Feb 8, 2021 · Villa P•••, Il
- N•• A•••••• S•••••••• L•• formerNov 5, 2008 to Sep 22, 2016 · Villa P•••, Il
- P••• A••••• S••••••••• L•• BD affiliatedApr 19, 2006 to Nov 7, 2008 · Downers Grove, Il
- V•••••• A•••••••• I••• BD affiliatedOct 11, 2002 to Apr 6, 2006 · Villa P•••, Il
- N•• E•••••• S••••••••• C••••••••• formerSep 15, 1997 to Oct 4, 2002 · Chicago, Il
- K••••• A••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 8, 2021, registered Feb 18, 2021 (10 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to N•• A•••••• S•••••••• L••left Nov 7, 2008, registered Nov 5, 2008 (-2 days) · Other
- V•••••• A•••••••• I••• to P••• A••••• S••••••••• L••left Apr 6, 2006, registered Apr 19, 2006 (13 days) · Other
- N•• E•••••• S••••••••• C••••••••• to V•••••• A•••••••• I•••left Oct 4, 2002, registered Oct 11, 2002 (7 days) · Other
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address