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.
C••••••••• J••• M•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 29, 2023 · Crystal Lake, Il
- S•• BD affiliatedJan 22, 2014 to Jun 26, 2023 · Chicago, Il
- M••••• S•••••• wirehouseNov 12, 2010 to Jan 30, 2014 · Barrington, Il
- E••••• J•••• national BDFeb 21, 2008 to Nov 16, 2010 · Crystal Lake, Il
- S•• to L•• F•••••••• L••left Jun 26, 2023, registered Jun 29, 2023 (3 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to S••left Jan 30, 2014, registered Jan 22, 2014 (-8 days) · Other
- E••••• J•••• to M••••• S••••••left Nov 16, 2010, registered Nov 12, 2010 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••••• J••• M••••••••• left Spc for L•• F•••••••• L•• (registered 2023-06-29)Jun 26, 2023 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address