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••••• J•••• D•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 8, 2026 · Norridge, Il
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Feb 1, 2017 · Norridge, Il
- L•• F•••••••• L•• BD affiliatedSep 18, 2013 to Feb 1, 2017 · Mount Prospect, Il
- F••••••••• A•••••••• I••• unclassifiedJul 17, 2012 to Sep 18, 2013 · Glenview, Il
- C•••• I••••••••• S••••••• C•••• formerMay 21, 2009 to Jul 10, 2012 · Bloomingdale, Il
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Jul 12, 2007 · Indianapolis, In
- B••• O•• S••••••••• C••••••••• unclassifiedOct 11, 2000 to Jul 6, 2005 · Indianapolis, In
- L•• F•••••••• L•• to H••••••••• F•••••••• A•••••••left Feb 1, 2017, registered Feb 1, 2017 (0 days) · corporate re-registration, not a move
- F••••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 18, 2013, registered Sep 18, 2013 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to F••••••••• A•••••••• I•••left Jul 10, 2012, registered Jul 17, 2012 (7 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address