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.
N•••• L••••• R•••••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Downers Grove, Il
- P•••• S••••••••• L•• no RAUMMay 18, 2017 to Nov 14, 2024 · Downers Grove, Il
- S•• BD affiliatedJul 1, 2013 to Apr 24, 2017 · Lisle, Il
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Jul 18, 2013 · St Charles, Il
- A••••••••• A•••••• S•••••••• I••• unclassifiedMay 7, 2008 to Oct 5, 2009 · St. Charles, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to May 22, 2008 · Streamwood, Il
- C••••••• I••••••••• S••••••• unclassifiedJun 25, 2002 to May 29, 2007 · Streamwood, Il
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- S•• to P•••• S••••••••• L••left Apr 24, 2017, registered May 18, 2017 (24 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••left Jul 18, 2013, registered Jul 1, 2013 (-17 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to A••••••••• A•••••• S•••••••• I•••left May 22, 2008, registered May 7, 2008 (-15 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address