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.
A••••• H• B••••
- O••••••••• • C•• I••• BD affiliated currentsince Feb 25, 2025 · Chicago, Il
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 1, 2022 to Mar 4, 2025 · Chicago, Il
- B• R•••• W••••• M••••••••• formerMay 25, 2012 to Dec 31, 2022 · Chicago, Il
- B• C• Z•••••• A•• C•••••• formerJun 12, 2009 to May 29, 2012 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 23, 2009 · Deerfield, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 11, 2003 to Jun 1, 2009 · Deerfield, Il
- M••••• S•••••• D• I••• unclassifiedOct 23, 2001 to Apr 16, 2003 · Riverwoods, Il
- B• R•••• W••••• A•••••••• I••• to O••••••••• • C•• I•••left Mar 4, 2025, registered Feb 25, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 1, 2022 (-152 days) · corporate re-registration, not a move
- B• C• Z•••••• A•• C•••••• to B• R•••• W••••• M•••••••••left May 29, 2012, registered May 25, 2012 (-4 days) · Other
- M••••• S•••••• to B• C• Z•••••• A•• C••••••left Jun 23, 2009, registered Jun 12, 2009 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Apr 16, 2003, registered Apr 11, 2003 (-5 days) · Other
- A••••• H• B•••• left B• R•••• W••••• A•••••••• I••• for O••••••••• • C•• I••• (registered 2025-02-25)Mar 4, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address