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•••••• A••• B•••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Downers Grove, Il
- P•••• S••••••••• L•• no RAUMNov 17, 2023 to Nov 14, 2024 · Crest Hill, Il
- P•••••••• S••••••••• I••• BD affiliatedMar 17, 2021 to Jan 11, 2023 · Downers Grove, Il
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 18, 2008 to Jun 4, 2009 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerFeb 25, 2004 to Jul 5, 2005 · Downers Grove, Il
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to P•••• S••••••••• L••left Jan 11, 2023, registered Nov 17, 2023 (310 days) · Affiliated broker-dealer or bank to another
- U•••• F•••••••• S••••••• G••••• I••• to P•••••••• S••••••••• I•••left Jun 4, 2009, registered Mar 17, 2021 (4304 days) · Other
- M•• F•••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Jul 5, 2005, registered Jun 18, 2008 (1079 days) · Other
- J•••••• A••• B••••• left P•••••••• S••••••••• I••• for P•••• S••••••••• L•• (registered 2023-11-17)Jan 11, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address