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•• N••••• W•••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Dec 21, 2020 · Chicago, Il
- S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• formerAug 14, 2018 to Dec 31, 2020 · Northbrook, Il
- I••••••••• F•••••••• P••••••• BD affiliatedOct 20, 2010 to Jan 7, 2019 · Northbrook, Il
- S••••••• R••• A•••••••• L•• unclassifiedSep 30, 2010 to Dec 31, 2010 · Northbrook, Il
- N•• A•••••••• I••• unclassifiedMar 3, 2008 to Dec 1, 2010 · Northbrook, Il
- N•• F••••••••• I••• unclassifiedOct 30, 2007 to Oct 15, 2008 · Bryan, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 14, 2001 to Sep 17, 2007 · Highland Park, Il
- S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• to I•• W••••• M••••••••• L••left Dec 31, 2020, registered Dec 21, 2020 (-10 days) · Other · moved with a team
- I••••••••• F•••••••• P••••••• to S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••left Jan 7, 2019, registered Aug 14, 2018 (-146 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- S••••••• R••• A•••••••• L•• to I••••••••• F•••••••• P•••••••left Dec 31, 2010, registered Oct 20, 2010 (-72 days) · Other
- N•• A•••••••• I••• to S••••••• R••• A•••••••• L••left Dec 1, 2010, registered Sep 30, 2010 (-62 days) · Other
- N•• F••••••••• I••• to N•• A•••••••• I•••left Oct 15, 2008, registered Mar 3, 2008 (-226 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to N•• F••••••••• I•••left Sep 17, 2007, registered Oct 30, 2007 (43 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address