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.
A••• T•••••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Apr 21, 2023 · Oak Park, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 3, 2022 to Mar 25, 2022 · Skokie, Il
- A•••••••• W••••• M••••••••• independent RIASep 25, 2018 to Feb 5, 2020 · A•••••••• Heights, Il
- W•••• F•••• A••••••• wirehouseMar 29, 2018 to Aug 30, 2018 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 2, 2018 · Elmhurst, Il
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Oct 1, 2012 · Elmhurst, Il
- B••• O•• S••••••••• C••••••••• unclassifiedJul 22, 2003 to Jul 6, 2005 · Elmhurst, Il
- N••••••••• M••••• I••••••••• S••••••••• to F•••• T•••• S••••••••• I•••left Mar 25, 2022, registered Apr 21, 2023 (392 days) · Other
- A•••••••• W••••• M••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Feb 5, 2020, registered Feb 3, 2022 (729 days) · Other
- W•••• F•••• A••••••• to A•••••••• W••••• M•••••••••left Aug 30, 2018, registered Sep 25, 2018 (26 days) · Wirehouse to independent RIA
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 2, 2018, registered Mar 29, 2018 (27 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- A••• T••••••••• left N••••••••• M••••• I••••••••• S••••••••• for F•••• T•••• S••••••••• I••• (registered 2023-04-21)Mar 25, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address