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••••• A••••• N•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 29, 2019 · Deerfield, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthAug 31, 2012 to May 30, 2019 · Highland Park, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 21, 2012 · Deerfield, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 22, 1999 to Jun 1, 2009 · Deerfield, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• to R•••••• J•••• • A••••••••• I•••left May 30, 2019, registered May 29, 2019 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Sep 21, 2012, registered Aug 31, 2012 (-21 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address