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.
- M••••• S•••••• wirehouse currentsince Sep 19, 2019 · Clayton, Mo
- J••• M••••• S••••••••• L•• wirehouseApr 21, 2009 to Sep 24, 2010 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedApr 24, 2007 to May 10, 2007 · Naperville, Il
- M•••••• L•••• T•••• C•••••• unclassifiedMar 24, 2004 to Aug 7, 2006 · Cleveland, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 16, 2004 to Aug 7, 2006 · Cleveland, Oh
- J••• M••••• S••••••••• L•• to M••••• S••••••left Sep 24, 2010, registered Sep 19, 2019 (3282 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left May 10, 2007, registered Apr 21, 2009 (712 days) · Other
- M•••••• L•••• T•••• C•••••• to J••• M••••• S••••••••• I•••left Aug 7, 2006, registered Apr 24, 2007 (260 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• L•••• T•••• C••••••left Aug 7, 2006, registered Mar 24, 2004 (-866 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address