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.
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- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Dec 9, 2024 · Stamford, Ct
- R•••••• J•••• • A••••••••• I••• national BDApr 6, 2020 to Dec 9, 2024 · Chicago, Il
- T••••• I••••••••• L•• independent RIADec 12, 2019 to Mar 13, 2020 · Park Ridge, Il
- R•••••• J•••• • A••••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••left Dec 9, 2024, registered Dec 9, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- T••••• I••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 13, 2020, registered Apr 6, 2020 (24 days) · RIA to affiliated broker-dealer or bank
- S••• S•••••••• L••••••• left R•••••• J•••• • A••••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-12-09)Dec 9, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address