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.
Q••••• A• R•••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Aug 31, 2026 · Indianapolis, In
- O••••••••• S••••••••• I••• BD affiliatedOct 20, 2022 to Sep 11, 2024 · Lincolnshire, Il
- P•••• S••••••••• L•• no RAUMMay 13, 2015 to Oct 22, 2021 · Downers Grove, Il
- N•• E•••••• S••••••••• C••••••••• formerJan 13, 2009 to Dec 22, 2014 · Chicago, Il
- P•••• S••••••••• L•• no RAUMAug 7, 2002 to Jun 21, 2004 · Downers Grove, Il
- P•••• S••••••••• L•• to O••••••••• S••••••••• I•••left Oct 22, 2021, registered Oct 20, 2022 (363 days) · Affiliated broker-dealer or bank to another
- N•• E•••••• S••••••••• C••••••••• to P•••• S••••••••• L••left Dec 22, 2014, registered May 13, 2015 (142 days) · Other
- P•••• S••••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Jun 21, 2004, registered Jan 13, 2009 (1667 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address