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.
- L•• F•••••••• L•• BD affiliated currentsince Mar 15, 2023 · Yorkville, Il
- W•••• F•••• A••••••• wirehouseMay 18, 2021 to Feb 28, 2023 · Madison, Wi
- W•••• F•••• A••••••• wirehouseSep 20, 2018 to Jan 24, 2020 · Naperville, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 27, 2017 to Sep 21, 2018 · Chicago, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 16, 2006 to Jun 9, 2008 · Oak Brook, Il
- T• A••••••••• I••• formerSep 30, 2005 to Jun 9, 2008 · Oakbrook, Il
- O•••••• I••••••••• A•••••••• L•• formerMay 11, 2005 to Sep 30, 2005 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDAug 24, 1999 to Apr 28, 2005 · Schaumburg, Il
- W•••• F•••• A••••••• to L•• F•••••••• L••left Feb 28, 2023, registered Mar 15, 2023 (15 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Sep 21, 2018, registered Sep 20, 2018 (-1 days) · Wirehouse to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 9, 2008, registered Jan 27, 2017 (3154 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 9, 2008, registered May 16, 2006 (-755 days) · channel change inside one enterprise, not a move
- O•••••• I••••••••• A•••••••• L•• to T• A••••••••• I•••left Sep 30, 2005, registered Sep 30, 2005 (0 days) · Other
- C•••••• S••••• • C••• I••• to O•••••• I••••••••• A•••••••• L••left Apr 28, 2005, registered May 11, 2005 (13 days) · Other
- M••• L••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2023-03-15)Feb 28, 2023 · 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address