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.
L•••••• T••• J••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 30, 2017 · Oakbrook Terrace, Il
- S•••••••• F••••••••• I••• formerMar 26, 2015 to Sep 1, 2017 · Chicago, Il
- N•• E•••••• S••••••••• C••••••••• formerJan 29, 2010 to Dec 22, 2014 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDDec 21, 2000 to Jan 22, 2010 · Chicago, Il
- S•••••••• F••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 1, 2017, registered Aug 30, 2017 (-2 days) · Other
- N•• E•••••• S••••••••• C••••••••• to S•••••••• F••••••••• I•••left Dec 22, 2014, registered Mar 26, 2015 (94 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Jan 22, 2010, registered Jan 29, 2010 (7 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