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.
M••• D•••• M•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 11, 2013 · Naperville, Il
- O••••••••• A•••• M••••••••• BD affiliatedApr 15, 2003 to Nov 12, 2007 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 3, 2003 to Oct 16, 2013 · Chicago, Il
- C••• W•••• M•••••• C•••• unclassifiedMay 11, 1999 to Jan 3, 2003 · Chicago, Il
- O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••left Oct 16, 2013, registered Apr 15, 2003 (-3837 days) · Other
- O••••••••• A•••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Nov 12, 2007, registered Oct 11, 2013 (2160 days) · Other
- C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address