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••••• M• S••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 13, 2021 · Tarpon Springs, Fl
- A•••• W••••• A•••••••• L•• BD affiliatedMar 6, 2020 to Jul 31, 2020 · Chicago, Il
- M••••• S•••••• wirehouseAug 17, 2016 to Feb 1, 2018 · Oak Brook, Il
- A•••• W••••• A•••••••• L•• to W•••• F•••• A•••••••left Jul 31, 2020, registered Sep 13, 2021 (409 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to A•••• W••••• A•••••••• L••left Feb 1, 2018, registered Mar 6, 2020 (764 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address