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•••• I••• S•••••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jun 17, 2020 · Downers Grove, Il
- H••••••••• F•••••••• A••••••• BD affiliatedDec 15, 2017 to Jun 15, 2020 · Naperville, Il
- P•• W••••• M••••••••• BD affiliatedJul 25, 2013 to Dec 8, 2017 · Dekalb, Il
- B•• H••••• F•••••••• A•••••••• I•• formerMay 23, 2011 to Jul 23, 2013 · Joliet, Il
- C•••• I••••••••• S••••••• C•••• formerAug 21, 2008 to Apr 4, 2011 · Glen Ellyn, Il
- H••••••••• F•••••••• A••••••• to P•••••••• S••••••••• I•••left Jun 15, 2020, registered Jun 17, 2020 (2 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to H••••••••• F•••••••• A•••••••left Dec 8, 2017, registered Dec 15, 2017 (7 days) · Other
- B•• H••••• F•••••••• A•••••••• I•• to P•• W••••• M•••••••••left Jul 23, 2013, registered Jul 25, 2013 (2 days) · Other
- C•••• I••••••••• S••••••• C•••• to B•• H••••• F•••••••• A•••••••• I••left Apr 4, 2011, registered May 23, 2011 (49 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address