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•••• J••• D••••
- E•••••••• P•••••••• S••••••••• I••• independent RIA currentsince Oct 9, 2018 · Chicago, Il
- E•••••••• P•• independent RIA currentsince Jul 8, 2014 · Berwyn, Pa
- F•• A•••••••• I••• asset managerNov 2, 2007 to Oct 13, 2009 · Lombard, Il
- P•••••••• S••••••••• I••• BD affiliatedJan 19, 2005 to May 31, 2005 · Des Moines, Ia
- F•• A•••••••• I••• to E•••••••• P••left Oct 13, 2009, registered Jul 8, 2014 (1729 days) · Other
- P•••••••• S••••••••• I••• to F•• A•••••••• I•••left May 31, 2005, registered Nov 2, 2007 (885 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address