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••• M•••• D•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 14, 2017 · Chicago, Il
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Dec 15, 2017 · Chicago, Il
- D••••••• B••• S••••••••• I••• no RAUMMar 24, 2014 to Sep 6, 2016 · Chicago, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 17, 2013 to Feb 6, 2014 · Chicago, Il
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 15, 2017, registered Dec 14, 2017 (-1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to D••••••• B••• S••••••••• I•••left Feb 6, 2014, registered Mar 24, 2014 (46 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address