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.
J•••• R•••• K•••••••
- K••••••• F•••••••• G•••• state registered currentsince Jan 24, 2025 · Chicago, Il
- F••••••• W••••• A•••••••• L•• independent RIAJun 25, 2020 to Nov 18, 2020 · Chicago, Il
- S• A•••••••• L•• independent RIAJan 4, 2019 to Mar 6, 2019 · Chicago, Il
- S•••••••• A•••••••• L•• BD affiliatedAug 11, 2015 to Dec 19, 2018 · Chicago, Il
- D•••• A• N•••• • C•••••• formerAug 14, 2014 to Aug 11, 2015 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 22, 2009 to Aug 8, 2014 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseMar 11, 1998 to May 13, 2009 · Chicago, Il
- F••••••• W••••• A•••••••• L•• to K••••••• F•••••••• G••••left Nov 18, 2020, registered Jan 24, 2025 (1528 days) · RIA to a state-registered adviser
- S• A•••••••• L•• to F••••••• W••••• A•••••••• L••left Mar 6, 2019, registered Jun 25, 2020 (477 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A•••••••• L•• to S• A•••••••• L••left Dec 19, 2018, registered Jan 4, 2019 (16 days) · Affiliated broker-dealer or bank to another
- D•••• A• N•••• • C•••••• to S•••••••• A•••••••• L••left Aug 11, 2015, registered Aug 11, 2015 (0 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D•••• A• N•••• • C••••••left Aug 8, 2014, registered Aug 14, 2014 (6 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 13, 2009, registered Jun 22, 2009 (40 days) · Wirehouse to wirehouse
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
- STATE REGISTEREDderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address