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••• J••••• S•••••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Aug 10, 2021 · Fort Meyers, Fl
- L•••• F••• A••••••• S••••••• BD affiliatedJan 8, 2014 to Aug 10, 2021 · Naperville, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 13, 2012 · Oakbrook Terrace, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 14, 2004 to Jun 1, 2009 · Oakbrook Terrace, Il
- M••••• S•••••• D• I••• unclassifiedFeb 14, 1998 to May 18, 2004 · Oak Brook, Il
- L•••• F••• A••••••• S••••••• to I••••••••• W••••• C••••••• L••left Aug 10, 2021, registered Aug 10, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to L•••• F••• A••••••• S•••••••left Jan 13, 2012, registered Jan 8, 2014 (726 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left May 18, 2004, registered May 14, 2004 (-4 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
- 47derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address