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•••• R••••• S•••••
- S•••••••• D•••• W••••• M••••••••• A•••••••• L• independent RIA currentsince Aug 30, 2016 · Pittsburgh, Pa
- M••••• S•••••• wirehouseMar 18, 2016 to Aug 22, 2016 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerSep 12, 2008 to Apr 11, 2016 · Chicago, Il
- L••••• B••••••• I••• unclassifiedJan 31, 2008 to Sep 18, 2008 · Chicago, Il
- M••••• S•••••• to S•••••••• D•••• W••••• M••••••••• A•••••••• L•left Aug 22, 2016, registered Aug 30, 2016 (8 days) · Other
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Apr 11, 2016, registered Mar 18, 2016 (-24 days) · corporate re-registration, not a move
- L••••• B••••••• I••• to C••••• S••••• S••••••••• •••• L••left Sep 18, 2008, registered Sep 12, 2008 (-6 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address