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.
S•••• J• L•••••
- G•••••• S•••• W••••• S•••••••• L••• BD affiliated currentsince Feb 23, 2022 · Deerfield, Il
- U••••• C•••••• F•••••••• A••••••• independent RIADec 23, 2020 to Feb 15, 2022 · Deerfield, Il
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedJun 25, 2019 to Dec 23, 2020 · Deerfield, Il
- M••••• S•••••• wirehouseFeb 18, 2015 to Sep 20, 2018 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 9, 2004 to Mar 30, 2009 · Chicago, Il
- U••••• C•••••• F•••••••• A••••••• to G•••••• S•••• W••••• S•••••••• L•••left Feb 15, 2022, registered Feb 23, 2022 (8 days) · Affiliated broker-dealer or bank to another
- G•••••• S•••• W••••• S•••••••• L••• to U••••• C•••••• F•••••••• A•••••••left Dec 23, 2020, registered Dec 23, 2020 (0 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to G•••••• S•••• W••••• S•••••••• L•••left Sep 20, 2018, registered Jun 25, 2019 (278 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 30, 2009, registered Feb 18, 2015 (2151 days) · Wirehouse to wirehouse
- S•••• J• L••••• left U••••• C•••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2022-02-23)Feb 15, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address