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••• B• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 1, 2025 · Rockford, Il
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedOct 1, 2021 to Apr 3, 2025 · Rockford, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 6, 2021 · Rockford, Il
- C•••• I••••••••• S••••••• C•••• formerSep 30, 2011 to Oct 1, 2012 · Rockford, Il
- C••••• I••••••••• S••••••• L•• formerOct 27, 2009 to Sep 30, 2011 · Rockford, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 29, 2008 to Dec 16, 2008 · Rockford, Il
- I••••••••• A••••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Apr 3, 2025, registered Apr 1, 2025 (-2 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Oct 6, 2021, registered Oct 1, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- 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
- C••••• I••••••••• S••••••• L•• to C•••• I••••••••• S••••••• C••••left Sep 30, 2011, registered Sep 30, 2011 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••• I••••••••• S••••••• L••left Dec 16, 2008, registered Oct 27, 2009 (315 days) · Other
- M••• B• H•••••• left I••••••••• A••••• I••••••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2025-04-01)Apr 3, 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
- 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