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.
J••••••• D••••• B••••••••
- A•••••• W••••• M••••••••• L•• independent RIA currentsince Jan 24, 2022 · Carlsbad, Ca
- A•••• W••••• A•••••••• L•• BD affiliatedJun 10, 2020 to Dec 8, 2023 · Chicago, Il
- A•••••• W••••• M••••••••• L•• independent RIAMar 11, 2013 to Dec 31, 2021 · Carlsbad, Ca
- M••••• K•••• C•••••• M••••••••• L•• formerAug 17, 2011 to Dec 19, 2012 · Phoenix, Az
- C•••••• W••••• M••••••••• L•• independent RIAApr 20, 2009 to Mar 2, 2011 · Naperville, Il
- C•••••• A••••••• L•• asset managerOct 25, 2000 to Nov 20, 2007 · Naperville, Il
- A•••• W••••• A•••••••• L•• to A•••••• W••••• M••••••••• L••left Dec 8, 2023, registered Jan 24, 2022 (-683 days) · Affiliated broker-dealer or bank to independent RIA
- A•••••• W••••• M••••••••• L•• to A•••• W••••• A•••••••• L••left Dec 31, 2021, registered Jun 10, 2020 (-569 days) · RIA to affiliated broker-dealer or bank
- M••••• K•••• C•••••• M••••••••• L•• to A•••••• W••••• M••••••••• L••left Dec 19, 2012, registered Mar 11, 2013 (82 days) · Other
- C•••••• W••••• M••••••••• L•• to M••••• K•••• C•••••• M••••••••• L••left Mar 2, 2011, registered Aug 17, 2011 (168 days) · Other
- C•••••• A••••••• L•• to C•••••• W••••• M••••••••• L••left Nov 20, 2007, registered Apr 20, 2009 (517 days) · Other
- J••••••• D••••• B•••••••• left A•••• W••••• A•••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2022-01-24)Dec 8, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address