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.
K•••• A•• M••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 11, 2025 · Grayslake, Il
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Aug 13, 2025 · Grayslake, Il
- S•••••••• F••••••••• I••• formerAug 3, 2021 to Sep 1, 2023 · Grayslake, Il
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 4, 2018 to Aug 6, 2021 · Grayslake, Il
- L•• F•••••••• L•• BD affiliatedJan 14, 2011 to May 21, 2018 · Riverwoods, Il
- M•••• C••••••• A••••••• S•••••• BD affiliatedAug 7, 2006 to Jan 18, 2011 · Palm Beach Gardens, Fl
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 13, 2025, registered Aug 11, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S•••••••• F••••••••• I•••left Aug 6, 2021, registered Aug 3, 2021 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 21, 2018, registered May 4, 2018 (-17 days) · RIA to affiliated broker-dealer or bank
- M•••• C••••••• A••••••• S•••••• to L•• F•••••••• L••left Jan 18, 2011, registered Jan 14, 2011 (-4 days) · Other
- K•••• A•• M•••••• left O•••• W•••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-08-11)Aug 13, 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address