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•••••• E• M••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Naperville, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 22, 2012 to Jul 13, 2018 · Chicago, Il
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 5, 2010 to May 1, 2012 · Chicago, Il
- A••••• A•• P••••••• S••••••• BD affiliatedApr 4, 2005 to Sep 4, 2008 · Chicago, Il
- T•••••••• T•••• C••••••• F•• unclassifiedNov 11, 2004 to Apr 4, 2005 · St. Louis, Mo
- L•••••• F•••••••• S•••••••• I••• unclassifiedOct 1, 2003 to Nov 3, 2004 · Chicago, Il
- D•• I••••••••• M••••••••• A•••••••• I••• otherApr 6, 2001 to Feb 14, 2003 · Chicago, Il
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to S•••••••• A••••••• L••left May 1, 2012, registered Jun 22, 2012 (52 days) · Other
- A••••• A•• P••••••• S••••••• to V•••• F•••••••• A•••••••• I•••left Sep 4, 2008, registered Aug 5, 2010 (700 days) · Other
- T•••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••left Apr 4, 2005, registered Apr 4, 2005 (0 days) · Other
- L•••••• F•••••••• S•••••••• I••• to T•••••••• T•••• C••••••• F••left Nov 3, 2004, registered Nov 11, 2004 (8 days) · Other
- D•• I••••••••• M••••••••• A•••••••• I••• to L•••••• F•••••••• S•••••••• I•••left Feb 14, 2003, registered Oct 1, 2003 (229 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address