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•••• K••••••••
- E••••• J•••• national BD currentsince Nov 22, 2021 · St. Louis, Mo
- M•••••• F•••••••• A•••••••• I••• formerJan 8, 2018 to Oct 29, 2021 · Effingham, Il
- K•••••••• F•••••••• S•••••••• L•• unclassifiedOct 24, 2011 to Aug 14, 2015 · Mattoon, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Oct 7, 2011 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 23, 2008 to Jan 2, 2009 · Mattoon, Il
- E••••• J•••• national BDFeb 12, 2007 to Jun 19, 2008 · Mattoon, Il
- M•••••• F•••••••• A•••••••• I••• to E••••• J••••left Oct 29, 2021, registered Nov 22, 2021 (24 days) · RIA to affiliated broker-dealer or bank
- K•••••••• F•••••••• S•••••••• L•• to M•••••• F•••••••• A•••••••• I•••left Aug 14, 2015, registered Jan 8, 2018 (878 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to K•••••••• F•••••••• S•••••••• L••left Oct 7, 2011, registered Oct 24, 2011 (17 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 19, 2008, registered Jun 23, 2008 (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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address