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.
N••••••• J• S•••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Aug 16, 2023 · Minneapolis, Mn
- Z•••• I••••••••• M••••••••• I••• mixed wealthFeb 10, 2021 to Oct 14, 2021 · Chicago, Il
- A•••••• A••••••• S••••••• formerNov 20, 2019 to Feb 12, 2021 · Chicago, Il
- M••••••••• I••••••••• S••••••• L•• formerJul 10, 2019 to Nov 29, 2019 · Haverford, Pa
- S•••••••• I••••••••• M••••••••• formerJan 24, 2017 to Mar 9, 2018 · Saint Louis, Mo
- E•••••• F•••••••• S•••••••• L•• formerMay 6, 2014 to Aug 28, 2015 · Oak Brook, Il
- L•• F•••••••• L•• BD affiliatedJun 22, 2006 to Jul 22, 2013 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 14, 2005 to Oct 20, 2005 · San Diego, Ca
- Z•••• I••••••••• M••••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Oct 14, 2021, registered Aug 16, 2023 (671 days) · RIA to affiliated broker-dealer or bank
- A•••••• A••••••• S••••••• to Z•••• I••••••••• M••••••••• I•••left Feb 12, 2021, registered Feb 10, 2021 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- M••••••••• I••••••••• S••••••• L•• to A•••••• A••••••• S•••••••left Nov 29, 2019, registered Nov 20, 2019 (-9 days) · RIA to affiliated broker-dealer or bank
- S•••••••• I••••••••• M••••••••• to M••••••••• I••••••••• S••••••• L••left Mar 9, 2018, registered Jul 10, 2019 (488 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••• F•••••••• S•••••••• L•• to S•••••••• I••••••••• M•••••••••left Aug 28, 2015, registered Jan 24, 2017 (515 days) · Other
- L•• F•••••••• L•• to E•••••• F•••••••• S•••••••• L••left Jul 22, 2013, registered May 6, 2014 (288 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 20, 2005, registered Jun 22, 2006 (245 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address