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.
W•••• J• F••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 25, 2021 · Mundelein, Il
- N••••••• T•••• S••••••••• I•• BD affiliatedDec 6, 2007 to Dec 31, 2009 · Lake Forest, Il
- B•• H••••• F•••••••• A•••••••• I•• formerJan 26, 2006 to Oct 11, 2007 · Buffalo Grove, Il
- C••• B•••••••• S•••••••• I••• formerMay 11, 2004 to Nov 17, 2005 · Vernon Hills, Il
- N••••••• T•••• S••••••••• I•• to C•••••• S••••• • C••• I•••left Dec 31, 2009, registered Aug 25, 2021 (4255 days) · Other
- B•• H••••• F•••••••• A•••••••• I•• to N••••••• T•••• S••••••••• I••left Oct 11, 2007, registered Dec 6, 2007 (56 days) · Other
- C••• B•••••••• S•••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Nov 17, 2005, registered Jan 26, 2006 (70 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address