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.
L••••••• G••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 29, 2026 · Chicago, Il
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Dec 8, 2023 · Chicago, Il
- P•••• S••••••••• L•• no RAUMJul 11, 2023 to Dec 1, 2023 · Rosemont, Il
- J••• M••••• S••••••••• L•• wirehouseNov 30, 2020 to Jul 5, 2023 · Carol Stream, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 10, 2015 to Nov 30, 2020 · Chicago, Il
- S•••••••• A••••••• L•• national BDApr 18, 2008 to Jan 6, 2014 · Schaumburg, Il
- P•••• S••••••••• L•• to H••••••••• F•••••••• A•••••••left Dec 1, 2023, registered Dec 8, 2023 (7 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to P•••• S••••••••• L••left Jul 5, 2023, registered Jul 11, 2023 (6 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Nov 30, 2020, registered Nov 30, 2020 (0 days) · Wirehouse to wirehouse
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 6, 2014, registered Nov 10, 2015 (673 days) · Affiliated broker-dealer or bank to wirehouse
- L••••••• G•••• left P•••• S••••••••• L•• for H••••••••• F•••••••• A••••••• (registered 2023-12-08)Dec 1, 2023 · Advisor changed firm · fact
- L••••••• G•••• left J••• M••••• S••••••••• L•• for P•••• S••••••••• L•• (registered 2023-07-11)Jul 5, 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address