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.
I••• Y•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 31, 2018 · Chicago, Il
- V••••• F•••••••• M••••••••• I••• BD affiliatedJan 7, 2015 to Aug 6, 2018 · Chicago, Il
- M••••• S•••••• wirehouseFeb 27, 2013 to Jan 16, 2015 · Deerfield, Il
- E•••••• C•••••• M••••••••• L•• formerJul 15, 2010 to May 22, 2012 · Arlington, Va
- V••••• F•••••••• M••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Aug 6, 2018, registered Jul 31, 2018 (-6 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to V••••• F•••••••• M••••••••• I•••left Jan 16, 2015, registered Jan 7, 2015 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left May 22, 2012, registered Feb 27, 2013 (281 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address