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.
J•••• D•••••• G•••••
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Jul 7, 2023 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedJan 26, 2016 to Mar 20, 2023 · Westmont, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 9, 2011 to Jan 7, 2016 · Dallas, Tx
- N••••••• T•••• S••••••••• I•• BD affiliatedJul 20, 2007 to Dec 31, 2009 · Chicago, Il
- B•• H••••• F•••••••• A•••••••• I•• formerJun 1, 2006 to Jul 17, 2007 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDNov 30, 2004 to Jun 22, 2005 · Minneapolis, Mn
- C•••••• S••••• • C••• I••• national BDOct 19, 2004 to Nov 29, 2004 · Chicago, Il
- L•• F•••••••• L•• to H••••••••• F•••••••• A•••••••left Mar 20, 2023, registered Jul 7, 2023 (109 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 7, 2016, registered Jan 26, 2016 (19 days) · Other
- N••••••• T•••• S••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2009, registered Feb 9, 2011 (405 days) · Other
- B•• H••••• F•••••••• A•••••••• I•• to N••••••• T•••• S••••••••• I••left Jul 17, 2007, registered Jul 20, 2007 (3 days) · Other
- C•••••• S••••• • C••• I••• to B•• H••••• F•••••••• A•••••••• I••left Jun 22, 2005, registered Jun 1, 2006 (344 days) · Other
- J•••• D•••••• G••••• left L•• F•••••••• L•• for H••••••••• F•••••••• A••••••• (registered 2023-07-07)Mar 20, 2023 · Advisor changed firm · fact
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address