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••• J••••• W••••
- F••••••• W••••• A•••••••• L•• independent RIA currentsince Jul 7, 2021 · Chicago, Il
- O••••••••• • C•• I••• BD affiliatedDec 5, 2016 to Jun 25, 2021 · Chicago, Il
- M••••• S•••••• wirehouseAug 28, 2013 to Apr 22, 2015 · Deerfield, Il
- O••••••••• • C•• I••• to F••••••• W••••• A•••••••• L••left Jun 25, 2021, registered Jul 7, 2021 (12 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to O••••••••• • C•• I•••left Apr 22, 2015, registered Dec 5, 2016 (593 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address