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••••• P••
- V•••••• A•••• M••••••••• I••• state registered currentsince Aug 26, 2020 · Long Grove, Il
- R••••• I••••••••• A•••••••• I•• BD affiliatedMay 24, 2019 to Feb 14, 2020 · Cary, Il
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedApr 22, 2014 to Dec 31, 2015 · Orlando, Fl
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedApr 22, 2014 to Aug 10, 2018 · Orlando, Fl
- F•••••••• W••• G•••• formerApr 8, 2014 to Apr 15, 2014 · Cary, Il
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedFeb 11, 2013 to Dec 20, 2013 · Cary, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 16, 2009 to Feb 21, 2013 · Algonquin, Il
- R••••• I••••••••• A•••••••• I•• to V•••••• A•••• M••••••••• I•••left Feb 14, 2020, registered Aug 26, 2020 (194 days) · Affiliated broker-dealer or bank to a state-registered adviser
- I••••••••• A••••• I••••••••• M••••••••• L•• to R••••• I••••••••• A•••••••• I••left Aug 10, 2018, registered May 24, 2019 (287 days) · Affiliated broker-dealer or bank to another
- F•••••••• W••• G•••• to I••••••••• A••••• I••••••••• M••••••••• L••left Apr 15, 2014, registered Apr 22, 2014 (7 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to F•••••••• W••• G••••left Dec 20, 2013, registered Apr 8, 2014 (109 days) · Other
- C••••• I••••••••• A••••••• L•• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Feb 21, 2013, registered Feb 11, 2013 (-10 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address