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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Orland Park, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 5, 2019 to Mar 31, 2025 · Orland Park, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 15, 2015 to Oct 15, 2019 · Schaumburg, Il
- J••• H•••••• I••••••••• M••••••••• L•• asset managerOct 6, 2009 to Dec 31, 2010 · Downers Grove, Il
- T••••••••• L•• formerApr 18, 2007 to Apr 1, 2009 · Chicago, Il
- M••••• S•••••• D• I••• unclassifiedSep 8, 2004 to Aug 29, 2006 · Orland Park, Il
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 15, 2019, registered Nov 5, 2019 (21 days) · Affiliated broker-dealer or bank to another
- J••• H•••••• I••••••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Dec 31, 2010, registered Apr 15, 2015 (1566 days) · Other
- T••••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Apr 1, 2009, registered Oct 6, 2009 (188 days) · Other
- M••••• S•••••• D• I••• to T••••••••• L••left Aug 29, 2006, registered Apr 18, 2007 (232 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address