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.
J•••• P•••••• L••••
- Q••••• W•••• A•••••••• L•• independent RIA currentsince Jan 11, 2022 · C••••••, Il
- Q••••• W•••• A•••••••• L•• independent RIAApr 22, 2020 to Dec 31, 2021 · C••••••, Il
- S•••••••• A•••••••• L•• BD affiliatedAug 11, 2015 to Jan 25, 2019 · C••••••, Il
- D•••• A• N•••• • C•••••• formerJan 8, 2014 to Aug 11, 2015 · Miami, Fl
- C•••••• W••••• M••••••••• formerJul 18, 2011 to Jan 3, 2014 · San Jose, Ca
- N••• C••••••••• BD affiliatedJul 6, 2010 to Jul 13, 2011 · C••••••, Il
- C•••••• I••••••••• G•••• A•••••••• L•• unclassifiedAug 25, 2009 to Jul 19, 2010 · C••••••, Il
- A••••••• E•••••••• I••• formerJul 30, 2008 to Aug 20, 2009 · C••••••, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 11, 2002 to Oct 21, 2005 · C••••••, Il
- M••••• S•••••• D• I••• unclassifiedFeb 14, 1998 to Aug 23, 2002 · Peoria, Il
- S•••••••• A•••••••• L•• to Q••••• W•••• A•••••••• L••left Jan 25, 2019, registered Apr 22, 2020 (453 days) · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• A• N•••• • C•••••• to S•••••••• A•••••••• L••left Aug 11, 2015, registered Aug 11, 2015 (0 days) · Other · moved with a team
- C•••••• W••••• M••••••••• to D•••• A• N•••• • C••••••left Jan 3, 2014, registered Jan 8, 2014 (5 days) · Other
- N••• C••••••••• to C•••••• W••••• M•••••••••left Jul 13, 2011, registered Jul 18, 2011 (5 days) · Other
- C•••••• I••••••••• G•••• A•••••••• L•• to N••• C•••••••••left Jul 19, 2010, registered Jul 6, 2010 (-13 days) · Other
- A••••••• E•••••••• I••• to C•••••• I••••••••• G•••• A•••••••• L••left Aug 20, 2009, registered Aug 25, 2009 (5 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••••• E•••••••• I•••left Oct 21, 2005, registered Jul 30, 2008 (1013 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 23, 2002, registered Sep 11, 2002 (19 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address