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••••• F•••••• S••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 22, 2025 · Northbrook, Il
- G•••• V••••• A•••••• G••••• L•• independent RIAMay 22, 2023 to Sep 9, 2025 · Humacao, Pr
- L•• F•••••••• L•• BD affiliatedDec 3, 2007 to Sep 12, 2025 · Glenview, Il
- N•• E•••••• S••••••••• C••••••••• formerSep 25, 2003 to Dec 4, 2007 · Chicago, Il
- E•••••••• A•••••••• L•• national BDSep 11, 2001 to May 12, 2003 · Northbrook, Il
- L•• F•••••••• L•• to G•••• V••••• A•••••• G••••• L••left Sep 12, 2025, registered May 22, 2023 (-844 days) · Affiliated broker-dealer or bank to independent RIA
- G•••• V••••• A•••••• G••••• L•• to U•• F•••••••• S••••••• I•••left Sep 9, 2025, registered Sep 22, 2025 (13 days) · RIA to wirehouse
- N•• E•••••• S••••••••• C••••••••• to L•• F•••••••• L••left Dec 4, 2007, registered Dec 3, 2007 (-1 days) · Other
- E•••••••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left May 12, 2003, registered Sep 25, 2003 (136 days) · Other
- R••••• F•••••• S•••• left L•• F•••••••• L•• for G•••• V••••• A•••••• G••••• L•• (registered 2023-05-22)Sep 12, 2025 · a•••••• firm change · fact
- R••••• F•••••• S•••• left G•••• V••••• A•••••• G••••• L•• for U•• F•••••••• S••••••• I••• (registered 2025-09-22)Sep 9, 2025 · a•••••• firm change · 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address