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.
S••• P••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jun 7, 2025 · Richmond, Tx
- V••••••• A•••••••• I••• BD affiliatedSep 8, 2020 to Feb 17, 2023 · Scottsdale, Az
- C•••••• S••••• • C••• I••• national BDOct 30, 2013 to Sep 26, 2019 · Houston, Tx
- A•••••• A••••••• S••••••• formerJun 22, 2011 to Sep 13, 2013 · Dallas, Tx
- A•••••••• F•••• M••••••••• L•• asset managerAug 9, 2007 to May 19, 2011 · Menomonee Falls, Wi
- W•••• F•••• I••••••••• L•• unclassifiedMar 14, 2006 to Aug 7, 2007 · Wauwatosa, Wi
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Dec 7, 2005 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedOct 8, 2003 to Jul 6, 2005 · Glen Ellyn, Il
- A••••••••• F•••••••• S•••••••• L•• national BDMar 11, 2003 to Jul 10, 2003 · Oak Park, Il
- C•••••• L•• independent RIAOct 4, 2002 to Mar 28, 2003 · Chicago, Il
- V••••••• A•••••••• I••• to E•••••• A••••••• G••••• L••left Feb 17, 2023, registered Jun 7, 2025 (841 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to V••••••• A•••••••• I•••left Sep 26, 2019, registered Sep 8, 2020 (348 days) · Affiliated broker-dealer or bank to another
- A•••••• A••••••• S••••••• to C•••••• S••••• • C••• I•••left Sep 13, 2013, registered Oct 30, 2013 (47 days) · Other
- A•••••••• F•••• M••••••••• L•• to A•••••• A••••••• S•••••••left May 19, 2011, registered Jun 22, 2011 (34 days) · Other
- W•••• F•••• I••••••••• L•• to A•••••••• F•••• M••••••••• L••left Aug 7, 2007, registered Aug 9, 2007 (2 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Dec 7, 2005, registered Mar 14, 2006 (97 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••left Jul 10, 2003, registered Oct 8, 2003 (90 days) · Other
- C•••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 28, 2003, registered Mar 11, 2003 (-17 days) · Other
- S••• P•••• left V••••••• A•••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2025-06-07)Feb 17, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address