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.
B•••• F••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Oct 19, 2022 · Oak Brook, Il
- E••••• J•••• national BDMay 22, 2020 to Aug 3, 2022 · Tinley Park, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2015 to May 18, 2020 · Palos Hills, Il
- E••••• J•••• to I•• W••••• M••••••••• L••left Aug 3, 2022, registered Oct 19, 2022 (77 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left May 18, 2020, registered May 22, 2020 (4 days) · Wirehouse to affiliated broker-dealer or bank
- B•••• F•••• left E••••• J•••• for I•• W••••• M••••••••• L•• (registered 2022-10-19)Aug 3, 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address