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.
I•• T••••• B•••
- P••• F•••••••• A•••••••• L•• independent RIA currentsince Apr 1, 2024 · Northbrook, Il
- M••••• S•••••• wirehouseSep 5, 2023 to Jan 2, 2024 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerApr 5, 2018 to Sep 5, 2023 · Portland, Or
- F••••• I••••••••• independent RIAOct 13, 2015 to Mar 21, 2018 · Plano, Tx
- J••• M••••• S••••••••• L•• wirehouseMar 25, 2013 to Oct 7, 2015 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedFeb 8, 2007 to Apr 25, 2007 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedFeb 4, 2005 to Mar 16, 2005 · Chicago, Il
- M••••• S•••••• to P••• F•••••••• A•••••••• L••left Jan 2, 2024, registered Apr 1, 2024 (90 days) · Wirehouse to independent RIA
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- F••••• I••••••••• to E•••••• C•••••• M••••••••• L••left Mar 21, 2018, registered Apr 5, 2018 (15 days) · RIA to RIA
- J••• M••••• S••••••••• L•• to F••••• I•••••••••left Oct 7, 2015, registered Oct 13, 2015 (6 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Apr 25, 2007, registered Mar 25, 2013 (2161 days) · Other
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Mar 16, 2005, registered Feb 8, 2007 (694 days) · Other
- I•• T••••• B••• left M••••• S•••••• for P••• F•••••••• A•••••••• L•• (registered 2024-04-01)Jan 2, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address