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•••••• B•••• H•••••
- G••• L••• A•••••••• L•• independent RIA currentsince Sep 10, 2021 · Celebration, Fl
- L•••• F••• A••••••• S••••••• BD affiliatedMay 13, 2020 to Oct 7, 2021 · Dallas, Tx
- O••• W••••• M••••••••• G•••• formerMay 11, 2015 to Dec 10, 2020 · Lisle, Il
- M•• F•••••••• S•••••••• I••• formerMar 3, 1998 to May 5, 2015 · Downers Grove, Il
- L•••• F••• A••••••• S••••••• to G••• L••• A•••••••• L••left Oct 7, 2021, registered Sep 10, 2021 (-27 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- O••• W••••• M••••••••• G•••• to L•••• F••• A••••••• S•••••••left Dec 10, 2020, registered May 13, 2020 (-211 days) · RIA to affiliated broker-dealer or bank
- M•• F•••••••• S•••••••• I••• to O••• W••••• M••••••••• G••••left May 5, 2015, registered May 11, 2015 (6 days) · Other · moved with a team
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address