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.
S•••• L• K••••••
- P••••••• W••••• P••••••• independent RIA currentsince May 2, 2025 · Itasca, Il
- A••••••••• F•••••••• S•••••••• L•• national BDDec 19, 2003 to May 8, 2025 · Downers Grove, Il
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Dec 8, 2003 · Oakbrook Terrace, Il
- P••••••••• E••••• G••••• L•• unclassifiedOct 16, 2000 to Jul 1, 2003 · Oakbrook, Il
- A••••••••• F•••••••• S•••••••• L•• to P••••••• W••••• P•••••••left May 8, 2025, registered May 2, 2025 (-6 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 8, 2003, registered Dec 19, 2003 (11 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- S•••• L• K•••••• left A••••••••• F•••••••• S•••••••• L•• for P••••••• W••••• P••••••• (registered 2025-05-02)May 8, 2025 · 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