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.
G••• J••••• K••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 27, 2022 · Oak Brook, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 11, 2017 to Sep 7, 2023 · Oak Brook, Il
- T• A••••••••• I••• formerOct 11, 2017 to Oct 14, 2022 · Oak Brook, Il
- I••••••••• A••••••• C••• formerJan 28, 2015 to Sep 15, 2017 · Westmont, Il
- R•••••• J•••• • A••••••••• I••• national BDMay 29, 2012 to Jul 21, 2014 · Loves Park, Il
- E••••• J•••• national BDOct 6, 2009 to Feb 2, 2011 · St Louis, Mo
- G••••••••• I••••••••• asset managerOct 19, 2005 to Nov 4, 2008 · Chicago, Il
- V•• K••••• A••••••• I•• unclassifiedMar 9, 2005 to Oct 17, 2005 · Oakbrook Terrace, Il
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 27, 2022 (-588 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Oct 11, 2017 (-1829 days) · corporate re-registration, not a move
- I••••••••• A••••••• C••• to T• A••••••••• I•••left Sep 15, 2017, registered Oct 11, 2017 (26 days) · Other
- R•••••• J•••• • A••••••••• I••• to I••••••••• A••••••• C•••left Jul 21, 2014, registered Jan 28, 2015 (191 days) · Other
- E••••• J•••• to R•••••• J•••• • A••••••••• I•••left Feb 2, 2011, registered May 29, 2012 (482 days) · Affiliated broker-dealer or bank to another
- G••••••••• I••••••••• to E••••• J••••left Nov 4, 2008, registered Oct 6, 2009 (336 days) · Other
- V•• K••••• A••••••• I•• to G••••••••• I•••••••••left Oct 17, 2005, registered Oct 19, 2005 (2 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address