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••••• D••••• L•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 22, 2018 · Lisle, Il
- P•••••••• S••••••••• I••• BD affiliatedAug 19, 2008 to Sep 5, 2018 · Downers Grove, Il
- P••• A••••• S••••••••• L•• BD affiliatedSep 1, 2005 to Aug 7, 2008 · Downers Grove, Il
- M•• F•••••••• S•••••••• I••• formerJul 24, 2000 to Jul 5, 2005 · Downers Grove, Il
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Sep 5, 2018, registered Aug 22, 2018 (-14 days) · Affiliated broker-dealer or bank to independent RIA
- P••• A••••• S••••••••• L•• to P•••••••• S••••••••• I•••left Aug 7, 2008, registered Aug 19, 2008 (12 days) · Other
- M•• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Jul 5, 2005, registered Sep 1, 2005 (58 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address