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•••• national BD currentsince Nov 11, 2024 · St. Louis, Mo
- T••••••• A•••••• N••••••• L•• BD affiliatedJul 21, 2023 to Sep 10, 2024 · Forsyth, Il
- E••••• J•••• national BDMay 11, 2018 to Jul 10, 2023 · East Peoria, Il
- T••••••• A•••••• N••••••• L•• to E••••• J••••left Sep 10, 2024, registered Nov 11, 2024 (62 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to T••••••• A•••••• N••••••• L••left Jul 10, 2023, registered Jul 21, 2023 (11 days) · Affiliated broker-dealer or bank to another
- J••••• B• S•••• left T••••••• A•••••• N••••••• L•• for E••••• J•••• (registered 2024-11-11)Sep 10, 2024 · a•••••• firm change · fact
- J••••• B• S•••• left E••••• J•••• for T••••••• A•••••• N••••••• L•• (registered 2023-07-21)Jul 10, 2023 · 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
- 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