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•• L••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 8, 2010 · Lombard, Il
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Dec 10, 2010 · Countryside, Il
- B••• O•• S••••••••• C••••••••• unclassifiedJul 9, 2003 to Jul 6, 2005 · Lagrange, Il
- A••••••••• F•••••••• S•••••••• L•• national BDJun 12, 2000 to Oct 30, 2002 · Lombard, Il
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Dec 10, 2010, registered Dec 8, 2010 (-2 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••left Oct 30, 2002, registered Jul 9, 2003 (252 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address