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.
D•••• A•••••••• H••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Peoria, Il
- W••••••• F•••••••• S•••••••• I••• formerMay 10, 2022 to Jan 19, 2024 · Peoria, Il
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to May 6, 2022 · Peoria, Il
- H• B•••• I••• formerJan 26, 2016 to Apr 1, 2021 · Worthington, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 22, 2015 · Peoria, Il
- M••••• S•••••• • C•• L•• unclassifiedNov 4, 2008 to Jun 1, 2009 · Peoria, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 2, 2000 to Sep 23, 2008 · Peoria, Il
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- G•••• P•••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left May 6, 2022, registered May 10, 2022 (4 days) · Affiliated broker-dealer or bank to another
- H• B•••• I••• to G•••• P•••• A•••••••• L••left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to H• B•••• I•••left Dec 22, 2015, registered Jan 26, 2016 (35 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Sep 23, 2008, registered Nov 4, 2008 (42 days) · Other
- D•••• A•••••••• H•••••• left G•••• P•••• A•••••••• L•• for W••••••• F•••••••• S•••••••• I••• (registered 2022-05-10)May 6, 2022 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address