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•••••••
- K•••••••• W••••• M••••••••• L•• independent RIA currentsince Oct 22, 2015 · Grants Pass, Or
- E••••• J•••• national BDApr 12, 2010 to Oct 16, 2015 · Willowbrook, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 1, 2010 · Oak Brook, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 23, 2008 to Jun 1, 2009 · Oak Brook, Il
- E••••• J•••• to K•••••••• W••••• M••••••••• L••left Oct 16, 2015, registered Oct 22, 2015 (6 days) · Other
- M••••• S•••••• to E••••• J••••left Apr 1, 2010, registered Apr 12, 2010 (11 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 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