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.
T•••••• W•••••
- E••••• J•••• national BD currentsince Jan 25, 2023 · Vernon Hills, Il
- O••••••••• S••••••••• I••• BD affiliatedFeb 8, 2021 to Jan 22, 2023 · Lincolnshire, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 24, 2017 to Jan 31, 2019 · Chicago Ridge, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Apr 11, 2017 · Springfield, Ma
- M•• F•••••••• S•••••••• I••• formerSep 10, 2015 to Mar 25, 2017 · Orland Park, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 17, 2013 to Aug 24, 2015 · Lincolnshire, Il
- O••••••••• S••••••••• I••• to E••••• J••••left Jan 22, 2023, registered Jan 25, 2023 (3 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to O••••••••• S••••••••• I•••left Jan 31, 2019, registered Feb 8, 2021 (739 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 11, 2017, registered Apr 24, 2017 (13 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Aug 24, 2015, registered Sep 10, 2015 (17 days) · Other
- T•••••• W••••• left O••••••••• S••••••••• I••• for E••••• J•••• (registered 2023-01-25)Jan 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address