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.
S• P•••• P•••
- D•••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 16, 2024 · Bolingbrook, Il
- L•• F•••••••• L•• BD affiliatedNov 11, 2021 to Jul 18, 2024 · Downers Grove, Il
- C•••••• S••••• • C••• I••• national BDJan 5, 2016 to Nov 16, 2021 · Naperville, Il
- E••••• J•••• national BDJan 2, 2015 to Dec 10, 2015 · St Louis, Mo
- L•• F•••••••• L•• to D•••••••• A••••••• S•••••••• L••left Jul 18, 2024, registered Jul 16, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Nov 16, 2021, registered Nov 11, 2021 (-5 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to C•••••• S••••• • C••• I•••left Dec 10, 2015, registered Jan 5, 2016 (26 days) · Affiliated broker-dealer or bank to another · moved with a team
- S• P•••• P••• left L•• F•••••••• L•• for D•••••••• A••••••• S•••••••• L•• (registered 2024-07-16)Jul 18, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address