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••••• P•••••• P••••••••
- P••••••• F•••••••• P••••••• state registered currentsince May 18, 2026 · Aurora, Il
- P••••••• F•••••••• P••••••• state registeredMay 2, 2022 to Dec 31, 2024 · Aurora, Il
- E••••••• C•••••• A•••••••• L•• independent RIADec 21, 2021 to Aug 8, 2024 · Aurora, Il
- S•••••• A••••••• L•• independent RIAJan 2, 2020 to Mar 16, 2021 · Charlotte, Nc
- I•• W••••• M••••••••• L•• BD affiliatedSep 26, 2018 to Nov 13, 2019 · Naperville, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 21, 2018 · Naperville, Il
- C•••• I••••••••• S••••••• C•••• formerMar 4, 2011 to Oct 1, 2012 · Naperville, Il
- E••••••• C•••••• A•••••••• L•• to P••••••• F•••••••• P•••••••left Aug 8, 2024, registered May 2, 2022 (-829 days) · RIA to a state-registered adviser
- S•••••• A••••••• L•• to E••••••• C•••••• A•••••••• L••left Mar 16, 2021, registered Dec 21, 2021 (280 days) · RIA to RIA
- I•• W••••• M••••••••• L•• to S•••••• A••••••• L••left Nov 13, 2019, registered Jan 2, 2020 (50 days) · RIA to RIA
- J••• M••••• S••••••••• L•• to I•• W••••• M••••••••• L••left Sep 21, 2018, registered Sep 26, 2018 (5 days) · Wirehouse to independent RIA
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- R••••• P•••••• P•••••••• left E••••••• C•••••• A•••••••• L•• for P••••••• F•••••••• P••••••• (registered 2022-05-02)Aug 8, 2024 · 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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address