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.
A•••••••• J• S•••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 19, 2023 · Schaumburg, Il
- P•••••• A•••••• G••••• L•• BD affiliatedMar 28, 2022 to Oct 25, 2023 · Morristown, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 27, 2021 to Mar 29, 2022 · Geneva, Il
- L•• F•••••••• L•• BD affiliatedJan 2, 2018 to Mar 3, 2021 · Woodstock, Il
- C••••• A•••••• N••••••• L•• formerAug 24, 2016 to Dec 31, 2016 · Crystal Lake, Il
- P•••••• A•••••• G••••• L•• to W•••• F•••• A•••••••left Oct 25, 2023, registered Dec 19, 2023 (55 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to P•••••• A•••••• G••••• L••left Mar 29, 2022, registered Mar 28, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 3, 2021, registered Sep 27, 2021 (208 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Dec 31, 2016, registered Jan 2, 2018 (367 days) · Other · moved with a team
- A•••••••• J• S••••••• left P•••••• A•••••• G••••• L•• for W•••• F•••• A••••••• (registered 2023-12-19)Oct 25, 2023 · a•••••• firm change · fact
- A•••••••• J• S••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for P•••••• A•••••• G••••• L•• (registered 2022-03-28)Mar 29, 2022 · a•••••• firm change · 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address