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.
G•••• A••• A•••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 3, 2023 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerOct 30, 2020 to Apr 3, 2023 · San Francisco, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 15, 2019 to Oct 3, 2020 · Barrington, Il
- T• A••••••••• I••• formerMar 15, 2019 to Oct 3, 2020 · Barrington, Il
- P•• W••••• M••••••••• BD affiliatedSep 5, 2017 to Feb 8, 2019 · Lagrange Park, Il
- J••• M••••• S••••••••• L•• wirehouseAug 12, 2013 to Aug 15, 2017 · Oak Lawn, Il
- M••••• S•••••• wirehouseMar 14, 2012 to Mar 13, 2013 · Oak Brook, Il
- P•••• S••••••••• L•• no RAUMSep 23, 2005 to Oct 2, 2006 · Naperville, Il
- P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to P••••••• C•••••• A••••••• C•••••••••left Oct 3, 2020, registered Oct 30, 2020 (27 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 3, 2020, registered Mar 15, 2019 (-568 days) · channel change inside one enterprise, not a move
- P•• W••••• M••••••••• to T• A••••••••• I•••left Feb 8, 2019, registered Mar 15, 2019 (35 days) · Other
- J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••left Aug 15, 2017, registered Sep 5, 2017 (21 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left Mar 13, 2013, registered Aug 12, 2013 (152 days) · Wirehouse to wirehouse
- P•••• S••••••••• L•• to M••••• S••••••left Oct 2, 2006, registered Mar 14, 2012 (1990 days) · Other
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address