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.
T••••• Y••••
- F•••• A••••••• N•••••••• L•• independent RIA currentsince Dec 1, 2023 · Hoffman Estates, Il
- W•• B•••••••• S•••••••• I••• BD affiliatedFeb 6, 2019 to Dec 6, 2021 · Rosemont, Il
- L•• F•••••••• L•• BD affiliatedDec 15, 2014 to Nov 7, 2018 · Rolling Meadows, Il
- F•••• T•••• S••••••••• I••• BD affiliatedDec 8, 2011 to Jan 10, 2013 · Hoffman Estates, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2010 to Dec 22, 2011 · Honolulu, Hi
- E•••••••• A•••••••• L•• national BDJan 3, 2005 to Jun 3, 2005 · Oakbrook, Il
- W•• B•••••••• S•••••••• I••• to F•••• A••••••• N•••••••• L••left Dec 6, 2021, registered Dec 1, 2023 (725 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to W•• B•••••••• S•••••••• I•••left Nov 7, 2018, registered Feb 6, 2019 (91 days) · RIA to a newly registered adviser
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Jan 10, 2013, registered Dec 15, 2014 (704 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• T•••• S••••••••• I•••left Dec 22, 2011, registered Dec 8, 2011 (-14 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 3, 2005, registered Sep 22, 2010 (1937 days) · Affiliated broker-dealer or bank to wirehouse
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address