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.
- E••••• J•••• national BD currentsince Jan 5, 2012 · St John, In
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 21, 2011 · Chicago, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 17, 2009 to Jun 1, 2009 · Chicago, Il
- D••••••• B••• S••••••••• I••• no RAUMFeb 27, 2008 to Apr 30, 2009 · Chicago, Il
- M••••• S•••••• to E••••• J••••left Dec 21, 2011, registered Jan 5, 2012 (15 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- D••••••• B••• S••••••••• I••• to M••••• S•••••• • C•• L••left Apr 30, 2009, registered Apr 17, 2009 (-13 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address