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.
M••• C••••••••• D•••••
- I••••••• F•••••••• S••••••• A••••••• independent RIA currentsince Jan 23, 2023 · Oakland, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 30, 2017 to Jan 4, 2023 · Buffalo Grove, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jul 7, 2017 · Buffalo Grove, Il
- M•• F•••••••• S•••••••• I••• formerJul 10, 2015 to Mar 25, 2017 · Buffalo Grove, Il
- A••••••• F•••••••• A•••••••• L•• BD affiliatedNov 8, 2010 to Jul 9, 2015 · Wood Dale, Il
- E•••••••• A•••••••• L•• national BDJul 24, 2006 to Oct 25, 2010 · Deerfield, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••• F•••••••• S••••••• A•••••••left Jan 4, 2023, registered Jan 23, 2023 (19 days) · Wirehouse to independent RIA
- M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 7, 2017, registered Jun 30, 2017 (-7 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- A••••••• F•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 9, 2015, registered Jul 10, 2015 (1 days) · Other
- E•••••••• A•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Oct 25, 2010, registered Nov 8, 2010 (14 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M••• C••••••••• D••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for I••••••• F•••••••• S••••••• A••••••• (registered 2023-01-23)Jan 4, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address