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.
G•••••• S••••• S••••
- E•••• S••••••••• L•• BD affiliated currentsince Feb 13, 2020 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedJun 1, 2015 to Aug 24, 2018 · Nashville, Tn
- L•••• F••• A••••••• S••••••• BD affiliatedOct 22, 2014 to Jun 2, 2015 · Naperville, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 3, 2014 · Lombard, Il
- C•••• I••••••••• S••••••• C•••• formerJun 24, 2011 to Oct 1, 2012 · Wheaton, Il
- L•• F•••••••• L•• to E•••• S••••••••• L••left Aug 24, 2018, registered Feb 13, 2020 (538 days) · RIA to affiliated broker-dealer or bank
- L•••• F••• A••••••• S••••••• to L•• F•••••••• L••left Jun 2, 2015, registered Jun 1, 2015 (-1 days) · Other
- J••• M••••• S••••••••• L•• to L•••• F••• A••••••• S•••••••left Nov 3, 2014, registered Oct 22, 2014 (-12 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
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address