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.
W•••••• S•••• P•••••
- V••••••••• A••••••• S••••••• BD affiliated currentsince Jan 17, 2025 · Northbrook, Il
- M•••••• I••••••••• A••••••• L•• formerMar 17, 2016 to Dec 31, 2016 · Northbrook, Il
- M•••••• S••••••••• A•••• M••••••••• L•• formerFeb 23, 2016 to Jan 17, 2025 · Northbrook, Il
- M•••••• S••••••••• C••• I••• formerSep 1, 2009 to Apr 13, 2016 · Manchester, Mo
- W••••••••• F•••••••• G••••• I••• unclassifiedMar 3, 2003 to Sep 1, 2009 · Arlington Heights, Il
- M•••••• F••••••••• I••• unclassifiedDec 20, 2001 to Mar 4, 2003 · Chicago, Il
- M•••••• S••••••••• A•••• M••••••••• L•• to M•••••• I••••••••• A••••••• L••left Jan 17, 2025, registered Mar 17, 2016 (-3228 days) · Other
- M•••••• I••••••••• A••••••• L•• to V••••••••• A••••••• S•••••••left Dec 31, 2016, registered Jan 17, 2025 (2939 days) · Other
- M•••••• S••••••••• C••• I••• to M•••••• S••••••••• A•••• M••••••••• L••left Apr 13, 2016, registered Feb 23, 2016 (-50 days) · channel change inside one enterprise, not a move · moved with a team
- W••••••••• F•••••••• G••••• I••• to M•••••• S••••••••• C••• I•••left Sep 1, 2009, registered Sep 1, 2009 (0 days) · Other
- M•••••• F••••••••• I••• to W••••••••• F•••••••• G••••• I•••left Mar 4, 2003, registered Mar 3, 2003 (-1 days) · Other
- W•••••• S•••• P••••• left M•••••• S••••••••• A•••• M••••••••• L•• for M•••••• I••••••••• A••••••• L•• (registered 2016-03-17)Jan 17, 2025 · 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