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.
D•••• E• W••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 24, 2021 · Columbus, Oh
- B•••••• L••• A••••••• S•••••••• I••• BD affiliatedSep 9, 2020 to Nov 12, 2021 · Chicago, Il
- P•• W••••• M••••••••• BD affiliatedMay 24, 2012 to Sep 25, 2020 · Chicago, Il
- U••• B•••••• I••••••••• I••• formerNov 17, 2008 to May 15, 2012 · Chicago, Il
- B•••••• L••• A••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Nov 12, 2021, registered Dec 24, 2021 (42 days) · Affiliated broker-dealer or bank to wirehouse
- P•• W••••• M••••••••• to B•••••• L••• A••••••• S•••••••• I•••left Sep 25, 2020, registered Sep 9, 2020 (-16 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• I••••••••• I••• to P•• W••••• M•••••••••left May 15, 2012, registered May 24, 2012 (9 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address