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•••••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Aug 20, 2009 · Elmhurst, Il
- L•• F•••••••• L•• BD affiliatedFeb 23, 2007 to Aug 18, 2009 · Lagrange, Il
- E••••• J•••• national BDFeb 7, 2007 to Feb 27, 2007 · Oakbrook Terrace, Il
- L•• F•••••••• L•• to L•••••• S•• I••••••••• A•••••••• L•••••left Aug 18, 2009, registered Aug 20, 2009 (2 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Feb 27, 2007, registered Feb 23, 2007 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address