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•••• R••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 22, 2025 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 6, 2018 to Jun 16, 2022 · Northbrook, Il
- F•••• • K•••• W••••• C•••••••• I••• unclassifiedFeb 4, 2016 to Mar 21, 2018 · Indianapolis, In
- D••••••• B••• S••••••••• I••• no RAUMDec 3, 2007 to Nov 13, 2008 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 19, 2007 to Dec 4, 2007 · Houston, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 14, 2007 · Bethesda, Md
- M••••• S•••••• D• I••• unclassifiedAug 26, 2005 to Apr 2, 2007 · Bethesda, Md
- F•••• • K•••• W••••• C•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 21, 2018, registered Apr 6, 2018 (16 days) · Other
- D••••••• B••• S••••••••• I••• to F•••• • K•••• W••••• C•••••••• I•••left Nov 13, 2008, registered Feb 4, 2016 (2639 days) · Other
- C•••• I••••••••• S••••••• C•••• to D••••••• B••• S••••••••• I•••left Dec 4, 2007, registered Dec 3, 2007 (-1 days) · Other
- M••••• S•••••• • C•• L•• to C•••• I••••••••• S••••••• C••••left Jun 14, 2007, registered Jul 19, 2007 (35 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address