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.
- E••••• J•••• national BD currentsince Aug 17, 2023 · Oak Park, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 14, 2021 to Aug 17, 2021 · Milwaukee, Wi
- E••••• J•••• national BDApr 10, 2018 to Apr 16, 2020 · Bolingbrook, Il
- E••••• J•••• national BDJun 23, 2015 to Apr 12, 2016 · Wheaton, Il
- J••• M••••• S••••••••• L•• wirehouseFeb 12, 2013 to Jul 10, 2013 · Chicago, Il
- E••••• J•••• national BDSep 27, 2012 to Jan 15, 2013 · West Chicago, Il
- B•• H••••• F•••••••• A•••••••• I•• formerMar 14, 2011 to May 31, 2011 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDAug 5, 2005 to Mar 19, 2010 · Geneva, Il
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 18, 2005 to Jul 25, 2005 · St. C••••••, Il
- N••••••••• M••••• I••••••••• S••••••••• to E••••• J••••left Aug 17, 2021, registered Aug 17, 2023 (730 days) · Other
- E••••• J•••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 16, 2020, registered Jun 14, 2021 (424 days) · Other
- J••• M••••• S••••••••• L•• to E••••• J••••left Jul 10, 2013, registered Jun 23, 2015 (713 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to J••• M••••• S••••••••• L••left Jan 15, 2013, registered Feb 12, 2013 (28 days) · Affiliated broker-dealer or bank to wirehouse
- B•• H••••• F•••••••• A•••••••• I•• to E••••• J••••left May 31, 2011, registered Sep 27, 2012 (485 days) · Other
- C•••••• S••••• • C••• I••• to B•• H••••• F•••••••• A•••••••• I••left Mar 19, 2010, registered Mar 14, 2011 (360 days) · Other
- F•••• T•••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Jul 25, 2005, registered Aug 5, 2005 (11 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