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.
M••• W•••••• K•••••••
- F••••••• W••••• A•••••••• L•• independent RIA currentsince Dec 16, 2020 · C••••••, Il
- R••••• I••••••••• A•••••••• I•• BD affiliatedSep 16, 2020 to Apr 28, 2025 · Wilmington, De
- S•••••••• A•••••••• L•• BD affiliatedAug 11, 2015 to Sep 2, 2020 · C••••••, Il
- D•••• A• N•••• • C•••••• formerAug 15, 2014 to Aug 11, 2015 · Miami, Fl
- K••••••••• A•••• M••••••••• L•• formerJul 27, 2010 to Nov 21, 2014 · C••••••, Il
- N••• C••••••••• BD affiliatedJul 6, 2010 to Jul 28, 2010 · C••••••, Il
- C•••••• I••••••••• G•••• A•••••••• L•• unclassifiedJun 18, 2009 to Jul 19, 2010 · C••••••, Il
- C•••••• I••••••••• G••••• L•• unclassifiedMay 18, 2009 to Sep 4, 2009 · C••••••, Il
- U•• F•••••••• S••••••• I••• wirehouseDec 20, 2006 to May 13, 2009 · C••••••, Il
- R••••• I••••••••• A•••••••• I•• to F••••••• W••••• A•••••••• L••left Apr 28, 2025, registered Dec 16, 2020 (-1594 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A•••••••• L•• to R••••• I••••••••• A•••••••• I••left Sep 2, 2020, registered Sep 16, 2020 (14 days) · Affiliated broker-dealer or bank to another
- D•••• A• N•••• • C•••••• to S•••••••• A•••••••• L••left Aug 11, 2015, registered Aug 11, 2015 (0 days) · Other · moved with a team
- K••••••••• A•••• M••••••••• L•• to D•••• A• N•••• • C••••••left Nov 21, 2014, registered Aug 15, 2014 (-98 days) · Other
- N••• C••••••••• to K••••••••• A•••• M••••••••• L••left Jul 28, 2010, registered Jul 27, 2010 (-1 days) · Other
- C•••••• I••••••••• G•••• A•••••••• L•• to N••• C•••••••••left Jul 19, 2010, registered Jul 6, 2010 (-13 days) · Other
- C•••••• I••••••••• G••••• L•• to C•••••• I••••••••• G•••• A•••••••• L••left Sep 4, 2009, registered Jun 18, 2009 (-78 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••• I••••••••• G••••• L••left May 13, 2009, registered May 18, 2009 (5 days) · Other
- M••• W•••••• K••••••• left R••••• I••••••••• A•••••••• I•• for F••••••• W••••• A•••••••• L•• (registered 2020-12-16)Apr 28, 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address