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•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Naperville, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 29, 2016 to Jul 13, 2018 · Orland Park, Il
- S•• A•••••••• I••• formerMar 9, 2012 to Apr 5, 2016 · Shorewood, Il
- D••••• J•••• A•••• M••••••••• I••• state registeredSep 24, 2009 to Mar 2, 2012 · Boca Raton, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 30, 2009 to Apr 27, 2009 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 31, 2007 to Mar 30, 2009 · Chicago, Il
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- S•• A•••••••• I••• to S•••••••• A••••••• L••left Apr 5, 2016, registered Jun 29, 2016 (85 days) · Other
- D••••• J•••• A•••• M••••••••• I••• to S•• A•••••••• I•••left Mar 2, 2012, registered Mar 9, 2012 (7 days) · Other
- C•••••••• G••••• M•••••• I••• to D••••• J•••• A•••• M••••••••• I•••left Apr 27, 2009, registered Sep 24, 2009 (150 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Mar 30, 2009, registered Mar 30, 2009 (0 days) · Other
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address