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.
D•••••• J•••• I••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Danville, Il
- P•••• S••••••••• L•• no RAUMJun 6, 2022 to Nov 14, 2024 · Danville, Il
- R•••••• J•••• • A••••••••• I••• national BDDec 17, 2018 to Jun 14, 2022 · Danville, Il
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jul 27, 2012 · Urbana, Il
- N•••••• I••••••••• I••• unclassifiedSep 16, 2008 to Nov 13, 2009 · Urbana, Il
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 23, 2006 to Sep 9, 2008 · Danville, Il
- A• G• E•••••• • S•••• I••• unclassifiedJan 18, 2006 to Jun 12, 2006 · Danville, Il
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to P•••• S••••••••• L••left Jun 14, 2022, registered Jun 6, 2022 (-8 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Jul 27, 2012, registered Dec 17, 2018 (2334 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to N•••••• I••••••••• I•••left Sep 9, 2008, registered Sep 16, 2008 (7 days) · Other
- A• G• E•••••• • S•••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Jun 12, 2006, registered Jun 23, 2006 (11 days) · Other
- D•••••• J•••• I•••••• left R•••••• J•••• • A••••••••• I••• for P•••• S••••••••• L•• (registered 2022-06-06)Jun 14, 2022 · Advisor changed firm · fact
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