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.
P•••• J••• D••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 24, 2021 · Chicago, Il
- B•• H••••• F•••••••• A•••••••• I•• formerJul 18, 2017 to Mar 24, 2021 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 26, 2017 · Wheaton, Il
- C•••• I••••••••• S••••••• C•••• formerJun 11, 2010 to Oct 1, 2012 · Glendale Heights, Il
- W•••••• • R••• formerSep 25, 2009 to Jun 9, 2010 · Savage, Mn
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Jul 26, 2017, registered Jul 18, 2017 (-8 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to C•••• I••••••••• S••••••• C••••left Jun 9, 2010, registered Jun 11, 2010 (2 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address