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.
L•••• W•••••• J••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 2, 2014 · Chicago, Il
- P•• W••••• M••••••••• BD affiliatedAug 8, 2013 to May 27, 2014 · Elgin, Il
- M••••••••• R••••••••• BD affiliatedMay 10, 2007 to Sep 17, 2012 · Washington, Dc
- A• G• E•••••• • S•••• I••• unclassifiedFeb 26, 2004 to Sep 14, 2005 · Barrington, Il
- P•• W••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left May 27, 2014, registered Jun 2, 2014 (6 days) · Other
- M••••••••• R••••••••• to P•• W••••• M•••••••••left Sep 17, 2012, registered Aug 8, 2013 (325 days) · Other
- A• G• E•••••• • S•••• I••• to M••••••••• R•••••••••left Sep 14, 2005, registered May 10, 2007 (603 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