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.
S••• C••••• R•••••
- A••••••• W••••• M••••••••• L•• independent RIA currentsince Jun 10, 2022 · Wesley Chapel, Fl
- R••••• C•••••• M••••••••• I••• state registered currentsince Jan 25, 2012 · Batavia, Il
- O••• B••••• W••••• G•••• L•• independent RIAJan 14, 2021 to Jun 13, 2022 · St. Charles, Il
- E•••• I••••••••• T••• L•• formerSep 12, 2019 to Dec 31, 2020 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 23, 2010 · Rockford, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 23, 2007 to Jun 1, 2009 · Rockford, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 20, 2002 to Nov 27, 2007 · Rockford, Il
- O••• B••••• W••••• G•••• L•• to A••••••• W••••• M••••••••• L••left Jun 13, 2022, registered Jun 10, 2022 (-3 days) · RIA to RIA
- E•••• I••••••••• T••• L•• to O••• B••••• W••••• G•••• L••left Dec 31, 2020, registered Jan 14, 2021 (14 days) · RIA to RIA
- M••••• S•••••• to R••••• C•••••• M••••••••• I•••left Dec 23, 2010, registered Jan 25, 2012 (398 days) · Wirehouse to a state-registered adviser
- C•••••••• G••••• M•••••• I••• 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 C•••••••• G••••• M•••••• I•••left Nov 27, 2007, registered Nov 23, 2007 (-4 days) · Other
- S••• C••••• R••••• left O••• B••••• W••••• G•••• L•• for A••••••• W••••• M••••••••• L•• (registered 2022-06-10)Jun 13, 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address