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.
W•••• J•••• D••••••••
- C•••••• A•••• M••••••••• L•• independent RIA currentsince Feb 23, 2018 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 15, 2012 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedAug 4, 2004 to Sep 27, 2006 · Chicago, Il
- J••• M••••• S••••••••• L•• to C•••••• A•••• M••••••••• L••left May 15, 2012, registered Feb 23, 2018 (2110 days) · Wirehouse to independent RIA
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address