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••• B•••• C•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 1, 2024 · Arlington Heights, Il
- A•••••• A••••••• S••••••• formerFeb 18, 2020 to Jun 28, 2024 · Park Ridge, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 1, 2017 to Feb 21, 2020 · Arlington Heights, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedDec 10, 2015 to Jul 21, 2017 · Lincolnwood, Il
- P•• W••••• M••••••••• BD affiliatedSep 18, 2014 to Sep 29, 2015 · Park Ridge, Il
- L•• F•••••••• L•• BD affiliatedSep 18, 2013 to Sep 5, 2014 · Bensenville, Il
- F••••••••• A•••••••• I••• unclassifiedNov 15, 2012 to Sep 18, 2013 · Mount Prospect, Il
- A••••••• A••••••• S••••••• formerJan 24, 2006 to Dec 5, 2012 · St Charles, Ia
- A•••••• A••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 28, 2024, registered Jul 1, 2024 (3 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to A•••••• A••••••• S•••••••left Feb 21, 2020, registered Feb 18, 2020 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•• W••••• M••••••••• to C••••• I••••••••• A••••••• L••left Sep 29, 2015, registered Dec 10, 2015 (72 days) · Other
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Sep 5, 2014, registered Sep 18, 2014 (13 days) · Other
- F••••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 18, 2013, registered Sep 18, 2013 (0 days) · corporate re-registration, not a move
- A••••••• A••••••• S••••••• to F••••••••• A•••••••• I•••left Dec 5, 2012, registered Nov 15, 2012 (-20 days) · Other
- D••• B•••• C••••••• left A•••••• A••••••• S••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-07-01)Jun 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
- 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