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••• C••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Minooka, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 4, 2021 to Mar 31, 2025 · Orland Park, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 4, 2018 to Apr 26, 2021 · Chicago, Il
- I••••••••• F•••••••• P••••••• BD affiliatedJul 20, 2016 to May 9, 2018 · Channahon, Il
- W•••• E••••• G••••• I••• BD affiliatedNov 26, 2014 to Jul 19, 2016 · Channahon, Il
- J• W• C••• A•••••••• I••• BD affiliatedAug 23, 2010 to Dec 8, 2014 · Channahon, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 26, 2021, registered May 4, 2021 (8 days) · Wirehouse to affiliated broker-dealer or bank
- I••••••••• F•••••••• P••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 9, 2018, registered Apr 4, 2018 (-35 days) · RIA to wirehouse
- W•••• E••••• G••••• I••• to I••••••••• F•••••••• P•••••••left Jul 19, 2016, registered Jul 20, 2016 (1 days) · Other
- J• W• C••• A•••••••• I••• to W•••• E••••• G••••• I•••left Dec 8, 2014, registered Nov 26, 2014 (-12 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address