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••••• D• R••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 31, 2019 · Crystal Lake, Il
- S••••••••• A•••••• A•••••••• I••• formerDec 11, 2013 to Jun 3, 2019 · Crystal Lake, Il
- D••••••••• R••••••••• P•••••••• I••• formerSep 28, 2010 to Dec 31, 2013 · Crystal Lake, Il
- C••••• A•••••• N••••••• L•• formerJan 23, 2008 to Nov 12, 2009 · Crystal Lake, Il
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Jun 3, 2019, registered May 31, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- D••••••••• R••••••••• P•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 31, 2013, registered Dec 11, 2013 (-20 days) · Other
- C••••• A•••••• N••••••• L•• to D••••••••• R••••••••• P•••••••• I•••left Nov 12, 2009, registered Sep 28, 2010 (320 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address