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.
A••• R••••••••
- E••••• J•••• national BD currentsince Jun 18, 2019 · Schererville, In
- B•• H••••• F•••••••• A•••••••• I•• formerDec 14, 2005 to Mar 8, 2006 · Orland Park, Il
- E•••••• C•••••• M••••••••• L•• formerApr 5, 2005 to Dec 31, 2005 · Midlothian, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 17, 2004 to Dec 8, 2004 · M••••••Ville, In
- B••• O•• S••••••••• C••••••••• unclassifiedNov 18, 2003 to Jul 23, 2004 · Frankfort, Il
- A• G• E•••••• • S•••• I••• unclassifiedFeb 24, 2003 to Oct 21, 2003 · Chicago, Il
- A• G• E•••••• • S•••• I••• unclassifiedMar 18, 2002 to Nov 7, 2002 · Chicago, Il
- B•• H••••• F•••••••• A•••••••• I•• to E••••• J••••left Mar 8, 2006, registered Jun 18, 2019 (4850 days) · Other
- E•••••• C•••••• M••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Dec 31, 2005, registered Dec 14, 2005 (-17 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Dec 8, 2004, registered Apr 5, 2005 (118 days) · Other
- B••• O•• S••••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 23, 2004, registered Aug 17, 2004 (25 days) · Other
- A• G• E•••••• • S•••• I••• to B••• O•• S••••••••• C•••••••••left Oct 21, 2003, registered Nov 18, 2003 (28 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address