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.
L••• J••••••• F••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 19, 2023 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDApr 5, 2022 to Mar 16, 2023 · Oakbrook Terrace, Il
- H••••••••• F•••••••• A••••••• BD affiliatedFeb 4, 2022 to Mar 8, 2022 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseFeb 4, 2020 to Oct 29, 2021 · Winnetka, Il
- E••••• J•••• national BDSep 21, 2018 to Jun 28, 2019 · Belleville, Il
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Mar 16, 2023, registered Apr 19, 2023 (34 days) · Affiliated broker-dealer or bank to wirehouse
- H••••••••• F•••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 8, 2022, registered Apr 5, 2022 (28 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to H••••••••• F•••••••• A•••••••left Oct 29, 2021, registered Feb 4, 2022 (98 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to J••• M••••• S••••••••• L••left Jun 28, 2019, registered Feb 4, 2020 (221 days) · Affiliated broker-dealer or bank to wirehouse
- L••• J••••••• F•••••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2023-04-19)Mar 16, 2023 · Advisor changed firm · fact
- L••• J••••••• F•••••• left H••••••••• F•••••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-04-05)Mar 8, 2022 · 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address