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••• K••••••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Sep 11, 2020 · Bannockburn, Il
- S•• A•••••••• I••• formerJan 27, 2011 to Sep 11, 2020 · North Brook, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMDec 1, 2005 to Jan 31, 2011 · Skokie, Il
- S•• A•••••••• I••• to L•••••• S•• I••••••••• A•••••••• L•••••left Sep 11, 2020, registered Sep 11, 2020 (0 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to S•• A•••••••• I•••left Jan 31, 2011, registered Jan 27, 2011 (-4 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address