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•••••• G•••••••• K•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Dyer, In
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 12, 2022 to Mar 31, 2025 · Westlake, Tx
- J••• M••••• S••••••••• L•• wirehouseDec 19, 2012 to May 13, 2021 · Orland Park, Il
- C•••• I••••••••• S••••••• C•••• formerSep 28, 2011 to Jun 6, 2012 · Chicago, 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
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 13, 2021, registered Oct 12, 2022 (517 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Jun 6, 2012, registered Dec 19, 2012 (196 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