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••• F• F•••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Jun 14, 2022 · Downers Grove, Il
- J••• M••••• S••••••••• L•• wirehouseOct 26, 2017 to Apr 30, 2022 · Chicago, Il
- F•••••••• E••••• S•••••••• I••• formerMar 28, 2016 to Oct 31, 2017 · Chicago, Il
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 10, 2014 to Mar 24, 2016 · Chicago, Il
- S•• BD affiliatedSep 16, 2011 to Oct 3, 2014 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDDec 5, 2008 to Sep 19, 2011 · Downers Grove, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 5, 2005 to Dec 9, 2008 · Chicago, Il
- P•••••• V••••• L•• formerFeb 3, 2000 to Oct 10, 2005 · Chicago, Il
- J••• M••••• S••••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Apr 30, 2022, registered Jun 14, 2022 (45 days) · Wirehouse to affiliated broker-dealer or bank
- F•••••••• E••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Oct 31, 2017, registered Oct 26, 2017 (-5 days) · Other
- V•••• F•••••••• A•••••••• I••• to F•••••••• E••••• S•••••••• I•••left Mar 24, 2016, registered Mar 28, 2016 (4 days) · Other
- S•• to V•••• F•••••••• A•••••••• I•••left Oct 3, 2014, registered Oct 10, 2014 (7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••left Sep 19, 2011, registered Sep 16, 2011 (-3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 9, 2008, registered Dec 5, 2008 (-4 days) · Other
- P•••••• V••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 10, 2005, registered Jan 5, 2005 (-278 days) · Other
- J••• F• F••••••• left J••• M••••• S••••••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2022-06-14)Apr 30, 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