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.
B•••••• A••• R•••
- L•• F•••••••• L•• BD affiliated currentsince Jun 16, 2023 · Glen Ellyn, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthAug 3, 2020 to May 3, 2022 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedMar 9, 2018 to Sep 8, 2020 · Chicago, Il
- K••••• A•••• M••••••••• C••• formerMar 20, 2013 to Sep 3, 2015 · Chicago, Il
- A••••••••• I••• BD affiliatedMay 11, 2011 to Oct 14, 2011 · Concord, Ca
- M•••••• F•••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••left May 3, 2022, registered Jun 16, 2023 (409 days) · Other
- L•• F•••••••• L•• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Sep 8, 2020, registered Aug 3, 2020 (-36 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- K••••• A•••• M••••••••• C••• to L•• F•••••••• L••left Sep 3, 2015, registered Mar 9, 2018 (918 days) · Other
- A••••••••• I••• to K••••• A•••• M••••••••• C•••left Oct 14, 2011, registered Mar 20, 2013 (523 days) · Other
- B•••••• A••• R••• left M•••••• F•••••••• I••••••••• M••••••••• I••• for L•• F•••••••• L•• (registered 2023-06-16)May 3, 2022 · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address