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••• B••••••
- S••••• L••• F••••••••• I••• state registered currentsince Feb 8, 2012 · Scottsdale, Az
- U•••••••• S••••••••• I••• unclassifiedMar 8, 2005 to Dec 31, 2005 · Lockport, Il
- W•••• F•••• A••••••• wirehouseMay 9, 2002 to Sep 5, 2002 · Chicago, Il
- U•••••••• S••••••••• I••• to S••••• L••• F••••••••• I•••left Dec 31, 2005, registered Feb 8, 2012 (2230 days) · Other
- W•••• F•••• A••••••• to U•••••••• S••••••••• I•••left Sep 5, 2002, registered Mar 8, 2005 (915 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
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address