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.
- E••••• J•••• national BD currentsince Oct 24, 2022 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 2020 to Oct 14, 2022 · Chicago, Il
- E•••••• A••••••• G••••• L•• BD affiliatedApr 26, 2017 to Oct 15, 2020 · Aurora, Il
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedJan 29, 2016 to Aug 15, 2016 · Columbus, Oh
- C•••••• S••••• • C••• I••• national BDMar 9, 2001 to Jun 3, 2005 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Oct 14, 2022, registered Oct 24, 2022 (10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E•••••• A••••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 15, 2020, registered Sep 25, 2020 (-20 days) · Other
- N••••••••• I••••••••• A•••••••• L•• to E•••••• A••••••• G••••• L••left Aug 15, 2016, registered Apr 26, 2017 (254 days) · Other
- C•••••• S••••• • C••• I••• to N••••••••• I••••••••• A•••••••• L••left Jun 3, 2005, registered Jan 29, 2016 (3892 days) · Other
- D••••• E• C••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2022-10-24)Oct 14, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address