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.
K•••• J••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Apr 1, 2021 · Orland Park, Il
- W•••• F•••• A••••••• wirehouseFeb 27, 2009 to Nov 3, 2020 · Bourbonnais, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 1, 2006 to Mar 23, 2009 · Bourbonnais, Il
- W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••left Nov 3, 2020, registered Apr 1, 2021 (149 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Mar 23, 2009, registered Feb 27, 2009 (-24 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address