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.
M••••••• L•• C•••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Orland Park, Il
- L•• F•••••••• L•• BD affiliatedFeb 3, 2017 to Jun 22, 2018 · Orland Park, Il
- O•••• I••••••••• I••• BD affiliatedFeb 22, 2012 to Feb 7, 2017 · Horton, Mi
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIADec 23, 2011 to Feb 24, 2012 · Mokena, Il
- W•••••• • R••• formerJun 30, 2008 to Dec 31, 2009 · Mokena, Il
- W•••••• • R••• formerJul 29, 2004 to Dec 31, 2006 · Orland Park, Il
- B••• O•• S••••••••• C••••••••• unclassifiedSep 25, 2002 to Mar 19, 2004 · Lansing, Il
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 22, 2018, registered Mar 21, 2024 (2099 days) · RIA to affiliated broker-dealer or bank
- O•••• I••••••••• I••• to L•• F•••••••• L••left Feb 7, 2017, registered Feb 3, 2017 (-4 days) · Other · moved with a team
- M••••• O• O•••• I••••••• S•••••••• I••• to O•••• I••••••••• I•••left Feb 24, 2012, registered Feb 22, 2012 (-2 days) · Other
- W•••••• • R••• to M••••• O• O•••• I••••••• S•••••••• I•••left Dec 31, 2009, registered Dec 23, 2011 (722 days) · Other
- B••• O•• S••••••••• C••••••••• to W•••••• • R•••left Mar 19, 2004, registered Jul 29, 2004 (132 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address