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.
K•••• R••••• O•••••
- M••••• S•••••• wirehouse currentsince Apr 25, 2025 · Deerfield, Il
- B••••••••• C•••••• M••••••••• L•• independent RIAJul 28, 2022 to Dec 20, 2023 · Wheaton, Il
- F•••• T•••• S••••••••• I••• BD affiliatedJun 4, 2019 to Jul 22, 2022 · Chicago, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to May 29, 2019 · Rosemont, Il
- C••••• I••••••••• S••••••• L•• formerJan 3, 2013 to Jan 21, 2014 · Rosemont, Il
- V••••• A•••• M••••••••• I•• unclassifiedAug 16, 2007 to Sep 3, 2009 · Rosemont, Il
- B••••••••• C•••••• M••••••••• L•• to M••••• S••••••left Dec 20, 2023, registered Apr 25, 2025 (492 days) · RIA to wirehouse
- F•••• T•••• S••••••••• I••• to B••••••••• C•••••• M••••••••• L••left Jul 22, 2022, registered Jul 28, 2022 (6 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• A••••••• L•• to F•••• T•••• S••••••••• I•••left May 29, 2019, registered Jun 4, 2019 (6 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- V••••• A•••• M••••••••• I•• to C••••• I••••••••• S••••••• L••left Sep 3, 2009, registered Jan 3, 2013 (1218 days) · Other
- K•••• R••••• O••••• left B••••••••• C•••••• M••••••••• L•• for M••••• S•••••• (registered 2025-04-25)Dec 20, 2023 · Advisor changed firm · fact
- K•••• R••••• O••••• left F•••• T•••• S••••••••• I••• for B••••••••• C•••••• M••••••••• L•• (registered 2022-07-28)Jul 22, 2022 · 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address