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•••••• R•••••
- N•••• S•••• C•••••• G•••• I••••••••• A•••••••• I•• state registered currentsince Oct 27, 2021 · Lake Forest, Il
- S••••• F•••••••• G•••• I•• formerNov 9, 2010 to Aug 20, 2020 · Lake Forest, Il
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 17, 2008 to Dec 7, 2010 · Lake Forest, Il
- E••••• J•••• national BDAug 18, 2008 to Oct 22, 2008 · Lindenhurst, Il
- S••••• F•••••••• G•••• I•• to N•••• S•••• C•••••• G•••• I••••••••• A•••••••• I••left Aug 20, 2020, registered Oct 27, 2021 (433 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• F•••••••• G•••• I••left Dec 7, 2010, registered Nov 9, 2010 (-28 days) · Other
- E••••• J•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 22, 2008, registered Oct 17, 2008 (-5 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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address