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.
T••• R•••••• G•••••
- L•• F•••••••• L•• BD affiliated currentsince May 23, 2024 · Batavia, Il
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to May 28, 2024 · Warrenville, Il
- W••••••• F•••••••• S•••••••• I••• formerSep 27, 2017 to Jan 19, 2024 · Warrenville, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Sep 29, 2017 · Lisle, Il
- M•• F•••••••• S•••••••• I••• formerApr 25, 2016 to Mar 25, 2017 · Chicago, Il
- O•••• W•••••• I••• BD affiliatedMay 18, 2012 to Apr 26, 2016 · Naperville, Il
- I••••••••• F•••••••• G••••• L•• BD affiliatedJun 3, 2011 to May 17, 2012 · Naperville, Il
- L•• F•••••••• L•• BD affiliatedMar 2, 2010 to Oct 18, 2010 · Geneva, Il
- O•••• W•••••• I••• to L•• F•••••••• L••left May 28, 2024, registered May 23, 2024 (-5 days) · Affiliated broker-dealer or bank to another
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Sep 29, 2017, registered Sep 27, 2017 (-2 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- O•••• W•••••• I••• to M•• F•••••••• S•••••••• I•••left Apr 26, 2016, registered Apr 25, 2016 (-1 days) · Other
- I••••••••• F•••••••• G••••• L•• to O•••• W•••••• I•••left May 17, 2012, registered May 18, 2012 (1 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Oct 18, 2010, registered Jun 3, 2011 (228 days) · Other
- T••• R•••••• G••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-05-23)May 28, 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address