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•••• D•••• A••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 28, 2020 · Wilmette, Il
- B•• H••••• F•••••••• A•••••••• I•• formerApr 9, 2018 to Sep 14, 2020 · Niles, Il
- J••• M••••• S••••••••• L•• wirehouseNov 30, 2015 to Apr 11, 2018 · Niles, Il
- B•• H••••• F•••••••• A•••••••• I•• to J••• M••••• S••••••••• L••left Sep 14, 2020, registered Sep 28, 2020 (14 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Apr 11, 2018, registered Apr 9, 2018 (-2 days) · Wirehouse to affiliated broker-dealer or bank
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address