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.
R•••• J•••• R•••••
- C•••••• S•••••• P••••••• former currentsince Jan 1, 2025 · Highland Park, Il
- S•• BD affiliatedMay 21, 2018 to Dec 31, 2020 · Deerfield, Il
- S•• BD affiliatedDec 1, 2017 to Apr 2, 2018 · Deerfield, Il
- T•• A•••••••• I••• BD affiliatedMay 20, 2015 to Jun 21, 2017 · Deerfield, Il
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJun 28, 2013 to Dec 19, 2014 · Mt Prospect, Il
- N•• E•••••• S••••••••• C••••••••• formerOct 7, 2005 to May 9, 2013 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedJun 30, 2004 to Apr 13, 2005 · Deerfield, Il
- W• G••••••• S••••••••• I••• unclassifiedSep 20, 1999 to Jun 22, 2004 · Rosemont, Il
- S•• to C•••••• S•••••• P•••••••left Dec 31, 2020, registered Jan 1, 2025 (1462 days) · Affiliated broker-dealer or bank to independent RIA
- T•• A•••••••• I••• to S••left Jun 21, 2017, registered Dec 1, 2017 (163 days) · Other
- A••••••• F•••••••• A•••••••• L•• to T•• A•••••••• I•••left Dec 19, 2014, registered May 20, 2015 (152 days) · Other
- N•• E•••••• S••••••••• C••••••••• to A••••••• F•••••••• A•••••••• L••left May 9, 2013, registered Jun 28, 2013 (50 days) · Other
- L•• F•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Apr 13, 2005, registered Oct 7, 2005 (177 days) · Other
- W• G••••••• S••••••••• I••• to L•• F•••••••• L••left Jun 22, 2004, registered Jun 30, 2004 (8 days) · Other
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
- Former SEC-registered adviserderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address