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• N•••••
- N•• C•••••• M••••••••• I••• mixed wealth currentsince Feb 28, 2024 · Peoria Heights, Il
- N•• C•••••• M••••••••• I••• mixed wealthApr 9, 2020 to Mar 24, 2022 · Peoria, Il
- A•• R••••••••• P••• I••••••••• S••••••• formerJul 2, 2015 to Dec 31, 2017 · Peoria, Il
- A•• R••••••••• P••• I••••••••• S••••••• formerJul 2, 2015 to Apr 2, 2020 · Peoria, Il
- L•• F•••••••• L•• BD affiliatedNov 15, 2013 to Oct 15, 2014 · Peoria, Il
- W•••• F•••• A••••••• wirehouseMar 19, 2013 to Nov 21, 2013 · Peoria, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 28, 2013 · Peoria, Il
- C•••• I••••••••• S••••••• C•••• formerApr 6, 2009 to Oct 1, 2012 · Peoria, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 24, 2007 to Apr 13, 2009 · Peoria, Il
- A•• R••••••••• P••• I••••••••• S••••••• to N•• C•••••• M••••••••• I•••left Apr 2, 2020, registered Apr 9, 2020 (7 days) · Other · moved with a team
- L•• F•••••••• L•• to A•• R••••••••• P••• I••••••••• S•••••••left Oct 15, 2014, registered Jul 2, 2015 (260 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Nov 21, 2013, registered Nov 15, 2013 (-6 days) · Other
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 28, 2013, registered Mar 19, 2013 (-9 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C•••• I••••••••• S••••••• C••••left Apr 13, 2009, registered Apr 6, 2009 (-7 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address