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•••• D••••••• D••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 13, 2023 · Orland Park, Il
- L•• F•••••••• L•• BD affiliatedOct 17, 2019 to Jan 26, 2023 · Orland Park, Il
- O•••• W•••••• I••• BD affiliatedJun 29, 2012 to Oct 21, 2019 · Naperville, Il
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliatedJan 20, 2012 to Jun 29, 2012 · Mokena, Il
- I•••••••• C•••••• A••••••• formerSep 4, 2009 to Dec 31, 2011 · Tustin, Ca
- W••••••••• F•••••••• G••••• I••• unclassifiedFeb 3, 2003 to Sep 4, 2009 · Orland Park, Il
- M••• S••••••••• C••••••••• unclassifiedFeb 5, 2001 to Nov 4, 2002 · Itasca, Il
- L•• F•••••••• L•• to O•••• W•••••• I•••left Jan 26, 2023, registered Jan 13, 2023 (-13 days) · RIA to affiliated broker-dealer or bank
- O•••• W•••••• I••• to L•• F•••••••• L••left Oct 21, 2019, registered Oct 17, 2019 (-4 days) · Affiliated broker-dealer or bank to another
- L•••••• S•• I••••••••• A•••••••• L••••• to O•••• W•••••• I•••left Jun 29, 2012, registered Jun 29, 2012 (0 days) · Other
- I•••••••• C•••••• A••••••• to L•••••• S•• I••••••••• A•••••••• L•••••left Dec 31, 2011, registered Jan 20, 2012 (20 days) · Other
- W••••••••• F•••••••• G••••• I••• to I•••••••• C•••••• A•••••••left Sep 4, 2009, registered Sep 4, 2009 (0 days) · Other
- M••• S••••••••• C••••••••• to W••••••••• F•••••••• G••••• I•••left Nov 4, 2002, registered Feb 3, 2003 (91 days) · Other
- M•••• D••••••• D•••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2023-01-13)Jan 26, 2023 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address