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••• E••••• R••••
- L•••••••• F•••••••• P••••••• I••• independent RIA currentsince Nov 19, 2018 · Saint Clair Shores, Mi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 6, 2013 to Dec 31, 2018 · Warrenville, Il
- E••••• J•••• national BDAug 6, 2010 to Aug 3, 2011 · Naperville, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 28, 2006 to Apr 17, 2008 · Barrington, Il
- C••••• I••••••••• S••••••• L•• formerJun 23, 2004 to Jun 6, 2005 · Fulton, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•••••••• F•••••••• P••••••• I•••left Dec 31, 2018, registered Nov 19, 2018 (-42 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 3, 2011, registered Feb 6, 2013 (553 days) · Other
- C•••••••• G••••• M•••••• I••• to E••••• J••••left Apr 17, 2008, registered Aug 6, 2010 (841 days) · Other
- C••••• I••••••••• S••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 6, 2005, registered Aug 28, 2006 (448 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address