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.
- W•••• F•••• A••••••• wirehouse currentsince Nov 8, 2025 · Springfield, Il
- E••••• J•••• national BDNov 30, 2018 to Nov 10, 2025 · Springfield, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 17, 2018 · Springfield, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 16, 2009 · Springfield, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 2, 2004 to Jun 1, 2009 · Springfield, Il
- M••••• S•••••• D• I••• unclassifiedFeb 18, 2004 to Dec 3, 2004 · Springfield, Il
- E••••• J•••• to W•••• F•••• A•••••••left Nov 10, 2025, registered Nov 8, 2025 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left May 17, 2018, registered Nov 30, 2018 (197 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 16, 2009, registered Oct 23, 2009 (-24 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Dec 3, 2004, registered Dec 2, 2004 (-1 days) · Other
- T•• N••••• left E••••• J•••• for W•••• F•••• A••••••• (registered 2025-11-08)Nov 10, 2025 · 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address