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.
K•••••• R••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Schaumburg, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 20, 2017 to Jul 13, 2018 · Schaumburg, Il
- B•• H••••• F•••••••• A•••••••• I•• formerJul 23, 2012 to Dec 27, 2016 · Hoffman Estates, Il
- P•• W••••• M••••••••• BD affiliatedJul 26, 2011 to Jul 24, 2012 · West Dundee, Il
- A••••••••• I••••••••• S•••••••• I••• independent RIAMay 31, 2011 to Aug 1, 2011 · Crystal Lake, Il
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 17, 2005 to Jun 3, 2011 · Lake Zurich, Il
- E•••••• C•••••• M••••••••• L•• formerJan 22, 2002 to Jan 3, 2005 · Cary, 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
- B•• H••••• F•••••••• A•••••••• I•• to S•••••••• A••••••• L••left Dec 27, 2016, registered Jan 20, 2017 (24 days) · Other
- P•• W••••• M••••••••• to B•• H••••• F•••••••• A•••••••• I••left Jul 24, 2012, registered Jul 23, 2012 (-1 days) · Other
- A••••••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Aug 1, 2011, registered Jul 26, 2011 (-6 days) · Other
- F•••• T•••• S••••••••• I••• to A••••••••• I••••••••• S•••••••• I•••left Jun 3, 2011, registered May 31, 2011 (-3 days) · Other
- E•••••• C•••••• M••••••••• L•• to F•••• T•••• S••••••••• I•••left Jan 3, 2005, registered Feb 17, 2005 (45 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