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.
S•••••• M•••••• G••••••••
- B•• N•••••• B•••• S••••••••• L••• BD affiliated currentsince Aug 5, 2021 · Toronto, Ontario
- B•• H••••• F•••••••• A•••••••• I•• formerJun 15, 2018 to Aug 2, 2021 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 30, 2018 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedOct 12, 2007 to Oct 1, 2008 · Bowling Green, Ky
- J••••• H•••••••• W••• L••••• L•• formerFeb 27, 2003 to Jun 21, 2006 · Louisville, Ky
- B•• H••••• F•••••••• A•••••••• I•• to B•• N•••••• B•••• S••••••••• L•••left Aug 2, 2021, registered Aug 5, 2021 (3 days) · Other
- J••• M••••• S••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left May 30, 2018, registered Jun 15, 2018 (16 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- J••••• H•••••••• W••• L••••• L•• to J••• M••••• S••••••••• I•••left Jun 21, 2006, registered Oct 12, 2007 (478 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address