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.
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- P••• F•••••••• A•••••••• L•• independent RIA currentsince Apr 14, 2025 · Wheaton, Il
- F•••••••• W••••• M••••••••• L•• formerOct 1, 2021 to Jul 7, 2025 · Wheaton, Il
- I•• W••••• M••••••••• L•• BD affiliatedMar 29, 2021 to Sep 24, 2021 · Chicago, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2021 · Boston, Ma
- S•••••••• A••••••• L•• national BDFeb 17, 2011 to Jul 13, 2018 · Oakbrook, Il
- U•• F•••••••• S••••••• I••• wirehouseMar 12, 2008 to May 13, 2009 · Oakbrook Terrace, Il
- A••••••••• F•••••••• S•••••••• L•• national BDNov 28, 2006 to Feb 26, 2008 · Tinley Park, Il
- F•••••••• W••••• M••••••••• L•• to P••• F•••••••• A•••••••• L••left Jul 7, 2025, registered Apr 14, 2025 (-84 days) · RIA to RIA · moved with a team
- I•• W••••• M••••••••• L•• to F•••••••• W••••• M••••••••• L••left Sep 24, 2021, registered Oct 1, 2021 (7 days) · RIA to RIA
- F••••••• P••••••• A•• W•••••••• A••••••• to I•• W••••• M••••••••• L••left Mar 31, 2021, registered Mar 29, 2021 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to S•••••••• A••••••• L••left May 13, 2009, registered Feb 17, 2011 (645 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Feb 26, 2008, registered Mar 12, 2008 (15 days) · Affiliated broker-dealer or bank to wirehouse
- P•••••• B•••• S•••••••• left F•••••••• W••••• M••••••••• L•• for P••• F•••••••• A•••••••• L•• (registered 2025-04-14)Jul 7, 2025 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address