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••••••• F••••••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Sep 4, 2018 · Elmhurst, Il
- S••••• A••••••• I••• BD affiliatedJan 30, 2015 to Sep 4, 2018 · New Castle, Pa
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerJan 2, 2009 to Jan 30, 2015 · Youngstown, Oh
- S••••• A••••••• I••• to L•••••• S•• I••••••••• A•••••••• L•••••left Sep 4, 2018, registered Sep 4, 2018 (0 days) · Affiliated broker-dealer or bank to another
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
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