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••• C••••••• S••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 28, 2006 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Sep 12, 2006 · Weehawken, Nj
- P•••• S•••••• • C•• institutionalAug 5, 2003 to Aug 12, 2006 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJun 4, 2001 to Aug 5, 2003 · Chicago, Il
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 12, 2006, registered Aug 28, 2006 (-15 days) · Wirehouse to affiliated broker-dealer or bank
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to P•••• S•••••• • C••left Aug 5, 2003, registered Aug 5, 2003 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address