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.
E•••• J•••• M•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 14, 2020 · Delray Beach, Fl
- P•• W••••• M••••••••• BD affiliatedNov 23, 2018 to Dec 18, 2019 · Park Ridge, Il
- V••••• F•••••••• M••••••••• I••• BD affiliatedJun 9, 2017 to Aug 10, 2018 · Chicago, Il
- F•••••••• F•••••••• P•••••••• L•• independent RIAJan 19, 2017 to Apr 11, 2017 · Naperville, Il
- J••• M••••• S••••••••• L•• wirehouseOct 7, 2015 to Nov 23, 2016 · Chicago, Il
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Dec 18, 2019, registered Feb 14, 2020 (58 days) · Affiliated broker-dealer or bank to wirehouse
- V••••• F•••••••• M••••••••• I••• to P•• W••••• M•••••••••left Aug 10, 2018, registered Nov 23, 2018 (105 days) · Affiliated broker-dealer or bank to another
- F•••••••• F•••••••• P•••••••• L•• to V••••• F•••••••• M••••••••• I•••left Apr 11, 2017, registered Jun 9, 2017 (59 days) · Other
- J••• M••••• S••••••••• L•• to F•••••••• F•••••••• P•••••••• L••left Nov 23, 2016, registered Jan 19, 2017 (57 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address