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.
T••• A•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 3, 2025 · Joliet, Il
- C•••••• A••••••• L•• asset managerFeb 23, 2024 to Aug 8, 2025 · Naperville, Il
- E••••• J•••• national BDApr 9, 2019 to Feb 21, 2024 · Geneva, Il
- C•••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 8, 2025, registered Oct 3, 2025 (56 days) · Other
- E••••• J•••• to C•••••• A••••••• L••left Feb 21, 2024, registered Feb 23, 2024 (2 days) · Other
- T••• A••••••• left C•••••• A••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-10-03)Aug 8, 2025 · Advisor changed firm · fact
- T••• A••••••• left E••••• J•••• for C•••••• A••••••• L•• (registered 2024-02-23)Feb 21, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address