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•••• J•••• C•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 16, 2018 · Rockford, Il
- B• C• Z•••••• A•• C•••••• formerSep 1, 2004 to Mar 16, 2018 · Rockford, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 29, 2001 to Aug 30, 2004 · Rockford, Il
- B• C• Z•••••• A•• C•••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 16, 2018, registered Mar 16, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B• C• Z•••••• A•• C••••••left Aug 30, 2004, registered Sep 1, 2004 (2 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address