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•••• S••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Jun 3, 2019 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDMay 8, 2015 to Apr 12, 2019 · Chicago, Il
- R•••••• J•••• • A••••••••• I••• national BDMar 28, 2011 to Jan 29, 2015 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDOct 18, 2010 to Apr 5, 2011 · Downers Grove, Il
- A••••••••• F•••••••• S•••••••• L•• to O••••••••• • C•• I•••left Apr 12, 2019, registered Jun 3, 2019 (52 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 29, 2015, registered May 8, 2015 (99 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Apr 5, 2011, registered Mar 28, 2011 (-8 days) · Affiliated broker-dealer or bank to another
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address