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.
K•••••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 23, 2025 · Chicago, Il
- W••••••• I••••••••• formerMar 24, 2014 to Jan 23, 2025 · Chicago, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthNov 2, 2009 to Feb 4, 2014 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDNov 19, 2007 to Nov 5, 2009 · Chicago, Il
- W••••••• I••••••••• to L•• F•••••••• L••left Jan 23, 2025, registered Jan 23, 2025 (0 days) · corporate re-registration, not a move
- M•••••• F•••••••• I••••••••• M••••••••• I••• to W••••••• I•••••••••left Feb 4, 2014, registered Mar 24, 2014 (48 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Nov 5, 2009, registered Nov 2, 2009 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address