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.
C••••••••• M•••••• F•••
- A•••• W••••• A•••••••• L•• BD affiliated currentsince Feb 2, 2026 · Sarasota, Fl
- L••• S••••• A•••••••• L•• formerApr 25, 2019 to Jul 28, 2020 · Springfield, Il
- F•••••• F•••••••• W••••• M••••••••• L•• unclassifiedMar 31, 2017 to Aug 28, 2019 · Springfield, Il
- G••••••• A•••••••• L•• independent RIAAug 8, 2014 to Mar 31, 2017 · Springfield, Il
- H••••• M••• I••••••••• I••• no RAUMJul 7, 2008 to Nov 17, 2008 · Springfield, Il
- L••• S••••• A•••••••• L•• to A•••• W••••• A•••••••• L••left Jul 28, 2020, registered Feb 2, 2026 (2015 days) · Affiliated broker-dealer or bank to another
- F•••••• F•••••••• W••••• M••••••••• L•• to L••• S••••• A•••••••• L••left Aug 28, 2019, registered Apr 25, 2019 (-125 days) · Other
- G••••••• A•••••••• L•• to F•••••• F•••••••• W••••• M••••••••• L••left Mar 31, 2017, registered Mar 31, 2017 (0 days) · Other
- H••••• M••• I••••••••• I••• to G••••••• A•••••••• L••left Nov 17, 2008, registered Aug 8, 2014 (2090 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address