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.
R•••••• J••••• A••••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Schaumburg, Il
- S•••••••• F••••••••• I••• formerMay 16, 2022 to Sep 1, 2023 · Schaumburg, Il
- O•••• F•• I••• formerFeb 7, 2012 to Jun 1, 2022 · Schaumburg, Il
- C• W••••• M••••••••• L•• independent RIAAug 12, 2011 to Dec 31, 2011 · Schaumburg, Il
- O•••• W•••••• I••• BD affiliatedJul 6, 2005 to May 6, 2010 · Schaumburg, Il
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to S•••••••• F••••••••• I•••left Jun 1, 2022, registered May 16, 2022 (-16 days) · Affiliated broker-dealer or bank to another
- C• W••••• M••••••••• L•• to O•••• F•• I•••left Dec 31, 2011, registered Feb 7, 2012 (38 days) · Other
- O•••• W•••••• I••• to C• W••••• M••••••••• L••left May 6, 2010, registered Aug 12, 2011 (463 days) · Other
- R•••••• J••••• A•••••••• left O•••• F•• I••• for S•••••••• F••••••••• I••• (registered 2022-05-16)Jun 1, 2022 · 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
- 52derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address