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.
G•••••••• G•••• B••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Edina, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 19, 2021 to Mar 31, 2025 · Edina, Mn
- N•••••••• P•••••••• L•• independent RIAAug 12, 2019 to Mar 17, 2021 · Barrington, Il
- A••••••••• F•••••••• S•••••••• L•• national BDDec 22, 2017 to Aug 13, 2019 · Barrington, Il
- J••• M••••• S••••••••• L•• wirehouseApr 22, 2016 to Dec 7, 2017 · Deerfield, Il
- C•••••• S••••• • C••• I••• national BDOct 22, 2015 to Apr 11, 2016 · Northbrook, 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
- N•••••••• P•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 17, 2021, registered May 19, 2021 (63 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to N•••••••• P•••••••• L••left Aug 13, 2019, registered Aug 12, 2019 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 7, 2017, registered Dec 22, 2017 (15 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Apr 11, 2016, registered Apr 22, 2016 (11 days) · Affiliated broker-dealer or bank to wirehouse
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address