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.
M•••••• J••••• M•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Mar 26, 2024 · Chicago, Il
- M••••• S•••••• wirehouseSep 5, 2023 to Dec 22, 2023 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerFeb 1, 2021 to Sep 5, 2023 · Chicago, Il
- T• A••••••••• I••• formerFeb 27, 2018 to Jan 11, 2021 · Chicago, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 27, 2018 to Dec 31, 2020 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 31, 2017 to Jan 31, 2018 · Chicago, Il
- T• A••••••••• I••• formerFeb 21, 2014 to Mar 16, 2017 · Oak Brook, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 21, 2014 to Mar 16, 2017 · Oak Brook, Il
- W•••• F•••• A••••••• wirehouseJan 9, 2012 to Feb 3, 2014 · Palos Heights, Il
- M••••• S•••••• to A••••• A•• P••••••• S•••••••left Dec 22, 2023, registered Mar 26, 2024 (95 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to E•••••• C•••••• M••••••••• L••left Jan 11, 2021, registered Feb 1, 2021 (21 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 31, 2018, registered Feb 27, 2018 (27 days) · Wirehouse to independent RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 16, 2017, registered Feb 21, 2014 (-1119 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 16, 2017, registered Mar 31, 2017 (15 days) · Other
- W•••• F•••• A••••••• to T• A••••••••• I•••left Feb 3, 2014, registered Feb 21, 2014 (18 days) · Other
- M•••••• J••••• M••••••• left M••••• S•••••• for A••••• A•• P••••••• S••••••• (registered 2024-03-26)Dec 22, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address