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.
T••• M•••••• O•••••
- C•••••• W••••• M••••••••• L•• independent RIA currentsince Nov 18, 2025 · Chicago, Il
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Nov 13, 2025 · Oak Brook, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 21, 2022 to Mar 31, 2025 · Oak Brook, Il
- F•••• T•••• S••••••••• I••• BD affiliatedApr 27, 2011 to Mar 21, 2014 · Chicago, Il
- J••• D• D••••• • A••••••••• L•• formerMar 21, 2007 to Feb 15, 2008 · Cincinnati, Oh
- N•• A•••••• S•••••••• L•• formerFeb 13, 2007 to Feb 28, 2007 · Cincinnati, Oh
- O•••• F•• I••• formerJun 16, 2003 to Jan 22, 2007 · Cincinnati, Oh
- S•••••••• A••••••• L•• to C•••••• W••••• M••••••••• L••left Nov 13, 2025, registered Nov 18, 2025 (5 days) · Affiliated broker-dealer or bank to independent RIA
- 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
- F•••• T•••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 21, 2014, registered Oct 21, 2022 (3136 days) · Other
- J••• D• D••••• • A••••••••• L•• to F•••• T•••• S••••••••• I•••left Feb 15, 2008, registered Apr 27, 2011 (1167 days) · Other
- N•• A•••••• S•••••••• L•• to J••• D• D••••• • A••••••••• L••left Feb 28, 2007, registered Mar 21, 2007 (21 days) · Other
- O•••• F•• I••• to N•• A•••••• S•••••••• L••left Jan 22, 2007, registered Feb 13, 2007 (22 days) · Other
- T••• M•••••• O••••• left S•••••••• A••••••• L•• for C•••••• W••••• M••••••••• L•• (registered 2025-11-18)Nov 13, 2025 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address