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.
R•••••• L•• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 8, 2023 · Butler, Pa
- U••• B•••••• I••••••••• I••• formerNov 20, 2019 to Mar 10, 2023 · Crystal Lake, Il
- C••• B•••••••• S•••••••• I••• formerMar 24, 2017 to Nov 25, 2019 · Gurnee, Il
- B•• W••••• A•••••••• L•• independent RIAApr 1, 2013 to Mar 15, 2017 · Vernon Hills, Il
- C••• F•••••••• S•••••••• L••• formerJun 25, 2012 to Mar 13, 2017 · Vernon Hills, Il
- U••• B•••••• I••••••••• I••• formerMay 31, 2012 to Jun 13, 2012 · Fox Lake, Il
- C••• F•••••••• S•••••••• L••• formerJul 7, 2010 to Jun 8, 2012 · Vernon Hills, Il
- C••• B•••••••• S•••••••• I••• formerJan 3, 2006 to Jul 6, 2010 · Round Lake, Il
- P•••••••• S••••••••• I••• BD affiliatedOct 28, 2004 to May 5, 2005 · Weirton, Wv
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Mar 10, 2023, registered Mar 8, 2023 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- C••• B•••••••• S•••••••• I••• to U••• B•••••• I••••••••• I•••left Nov 25, 2019, registered Nov 20, 2019 (-5 days) · Affiliated broker-dealer or bank to another
- B•• W••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••left Mar 15, 2017, registered Mar 24, 2017 (9 days) · Other
- C••• F•••••••• S•••••••• L••• to B•• W••••• A•••••••• L••left Mar 13, 2017, registered Apr 1, 2013 (-1442 days) · Other · moved with a team
- U••• B•••••• I••••••••• I••• to C••• F•••••••• S•••••••• L•••left Jun 13, 2012, registered Jun 25, 2012 (12 days) · Other
- C••• F•••••••• S•••••••• L••• to U••• B•••••• I••••••••• I•••left Jun 8, 2012, registered May 31, 2012 (-8 days) · Other
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Jul 6, 2010, registered Jul 7, 2010 (1 days) · Other
- P•••••••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left May 5, 2005, registered Jan 3, 2006 (243 days) · Other
- R•••••• L•• C••••••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2023-03-08)Mar 10, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address