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.
T•••••• J••• S••••••
- C••••••••• S••••••••• L•• independent RIA currentsince Oct 16, 2014 · Arlington Heights, Il
- C•••• C•••••• S••••••••• L••• formerJul 31, 2012 to Dec 31, 2023 · Overland Park, Ks
- B••••••••• I••••••••• A••••••• S••••••• formerJul 24, 2007 to Jun 20, 2012 · Arlington Heights, Il
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliatedJan 9, 2006 to Jul 23, 2007 · Elmhurst, Il
- C••••••• I••••••••• I••• unclassifiedAug 13, 2001 to Oct 14, 2003 · Lake In The Hills, Il
- C•••• C•••••• S••••••••• L••• to C••••••••• S••••••••• L••left Dec 31, 2023, registered Oct 16, 2014 (-3363 days) · Affiliated broker-dealer or bank to independent RIA
- B••••••••• I••••••••• A••••••• S••••••• to C•••• C•••••• S••••••••• L•••left Jun 20, 2012, registered Jul 31, 2012 (41 days) · Other
- L•••••• S•• I••••••••• A•••••••• L••••• to B••••••••• I••••••••• A••••••• S•••••••left Jul 23, 2007, registered Jul 24, 2007 (1 days) · Other
- C••••••• I••••••••• I••• to L•••••• S•• I••••••••• A•••••••• L•••••left Oct 14, 2003, registered Jan 9, 2006 (818 days) · Other
- Timothy John Stearns left Crown Capital Securities, L.P. for Cornerstone Securities Llc (registered 2014-10-16)Dec 31, 2023 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address