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•••• A•• C•••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Washington, Il
- W•••••• • R••• formerApr 16, 2013 to Jul 21, 2021 · Davenport, Ia
- S••••• W••••• M••••••••• independent RIADec 13, 2010 to Mar 20, 2013 · Peoria, Il
- M••••• S•••••• wirehouseJan 4, 2010 to Dec 23, 2010 · Peoria, Il
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- S••••• W••••• M••••••••• to W•••••• • R•••left Mar 20, 2013, registered Apr 16, 2013 (27 days) · Other
- M••••• S•••••• to S••••• W••••• M•••••••••left Dec 23, 2010, registered Dec 13, 2010 (-10 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