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.
C••••••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 28, 2023 · Lincoln, Il
- M•••••• A•••••• N•••••• BD affiliatedAug 30, 2021 to Oct 10, 2023 · Lincoln, Il
- L•••• F••• A••••••• S••••••• BD affiliatedFeb 1, 2006 to Aug 31, 2021 · Dallas, Tx
- S••••••••• A•••••• A•••••••• I••• formerNov 29, 2004 to Feb 4, 2006 · Lincoln, Il
- A•••••• A••••••• S••••••• formerFeb 22, 1998 to Dec 13, 2004 · Lincoln, Il
- M•••••• A•••••• N•••••• to L•• F•••••••• L••left Oct 10, 2023, registered Nov 28, 2023 (49 days) · Affiliated broker-dealer or bank to another
- L•••• F••• A••••••• S••••••• to M•••••• A•••••• N••••••left Aug 31, 2021, registered Aug 30, 2021 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••••• A•••••• A•••••••• I••• to L•••• F••• A••••••• S•••••••left Feb 4, 2006, registered Feb 1, 2006 (-3 days) · Other
- A•••••• A••••••• S••••••• to S••••••••• A•••••• A•••••••• I•••left Dec 13, 2004, registered Nov 29, 2004 (-14 days) · Other
- C••••••• B••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2023-11-28)Oct 10, 2023 · a•••••• firm change · 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address