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••••••• S••••••• C••••
- C•••••• independent RIA currentsince Dec 16, 2022 · Itasca, Il
- B••••• D••••••• F•••• L•• formerMar 13, 2019 to Mar 31, 2023 · Itasca, Il
- M••••• S•••••• wirehouseApr 19, 2013 to Jan 10, 2019 · Oak Brook, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 6, 2012 to Oct 16, 2012 · Northbrook, Il
- L•• F•••••••• L•• BD affiliatedMay 18, 2005 to Jan 9, 2009 · Glenview, Il
- O•••• F•• I••• formerOct 22, 2002 to May 22, 2003 · Chicago, Il
- B••••• D••••••• F•••• L•• to C••••••left Mar 31, 2023, registered Dec 16, 2022 (-105 days) · corporate re-registration, not a move
- M••••• S•••••• to B••••• D••••••• F•••• L••left Jan 10, 2019, registered Mar 13, 2019 (62 days) · Wirehouse to independent RIA
- C••••• I••••••••• A••••••• L•• to M••••• S••••••left Oct 16, 2012, registered Apr 19, 2013 (185 days) · Other
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 9, 2009, registered Mar 6, 2012 (1152 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left May 22, 2003, registered May 18, 2005 (727 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address