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.
D•••••••• D•••• O•••••
- A••••••••• I••• BD affiliated currentsince Dec 12, 2024 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseMar 16, 2023 to Dec 3, 2024 · Burr Ridge, Il
- A••••••••• I••• BD affiliatedJan 17, 2020 to Mar 2, 2023 · Chicago, Il
- J••• M••••• S••••••••• L•• to A••••••••• I•••left Dec 3, 2024, registered Dec 12, 2024 (9 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• I••• to J••• M••••• S••••••••• L••left Mar 2, 2023, registered Mar 16, 2023 (14 days) · Affiliated broker-dealer or bank to wirehouse
- D•••••••• D•••• O••••• left J••• M••••• S••••••••• L•• for A••••••••• I••• (registered 2024-12-12)Dec 3, 2024 · Advisor changed firm · fact
- D•••••••• D•••• O••••• left A••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-03-16)Mar 2, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address