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.
P••• J••••• S••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Oct 30, 2018 · Oakwood Hills, Il
- F•••••••• E••••• S•••••••• I••• formerMar 23, 2012 to Oct 31, 2018 · San Diego, Ca
- O•••• F•• I••• formerFeb 18, 2003 to Mar 22, 2012 · Cary, Il
- P•••••• A••••••• S••••••• I•• unclassifiedSep 1, 1999 to Feb 26, 2003 · Cary , Il
- F•••••••• E••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Oct 31, 2018, registered Oct 30, 2018 (-1 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to F•••••••• E••••• S•••••••• I•••left Mar 22, 2012, registered Mar 23, 2012 (1 days) · Other
- P•••••• A••••••• S••••••• I•• to O•••• F•• I•••left Feb 26, 2003, registered Feb 18, 2003 (-8 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