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.
R••••• H•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Hilton Head Island, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 17, 2021 to Mar 31, 2025 · Westlake, Tx
- U••• B•••••• I••••••••• I••• formerDec 7, 2018 to Aug 10, 2021 · Geneva, Il
- F•••• T•••• S••••••••• I••• BD affiliatedJul 6, 2017 to Nov 23, 2018 · Westmont, Il
- P•• W••••• M••••••••• BD affiliatedJun 4, 2014 to May 2, 2017 · Western Springs, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 22, 2011 to Jul 30, 2012 · Chicago, Il
- F•••• T•••• S••••••••• I••• BD affiliatedSep 29, 2010 to Oct 11, 2011 · Lockport, 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
- U••• B•••••• I••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 10, 2021, registered Nov 17, 2021 (99 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Nov 23, 2018, registered Dec 7, 2018 (14 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to F•••• T•••• S••••••••• I•••left May 2, 2017, registered Jul 6, 2017 (65 days) · Other
- C•••••••• G••••• M•••••• I••• to P•• W••••• M•••••••••left Jul 30, 2012, registered Jun 4, 2014 (674 days) · Other
- F•••• T•••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 11, 2011, registered Dec 22, 2011 (72 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address