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••••• S•••• E••••
- S•••••••• A••••••• L•• national BD currentsince May 20, 2026 · River Grove, Il
- I••••••••• R••••••• C••• independent RIAFeb 14, 2017 to Sep 21, 2017 · Chicago, Il
- I•••••••• C•••••• A••••••• formerSep 2, 2005 to Dec 31, 2015 · Milwaukee, Wi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 22, 2005 to Sep 2, 2005 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 6, 1999 to Jul 8, 2004 · Chicago, Il
- I••••••••• R••••••• C••• to S•••••••• A••••••• L••left Sep 21, 2017, registered May 20, 2026 (3163 days) · Other
- I•••••••• C•••••• A••••••• to I••••••••• R••••••• C•••left Dec 31, 2015, registered Feb 14, 2017 (411 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to I•••••••• C•••••• A•••••••left Sep 2, 2005, registered Sep 2, 2005 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•••• F•••••••• S••••••• G••••• I•••left Jul 8, 2004, registered Feb 22, 2005 (229 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address