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.
- L•• F•••••••• L•• BD affiliated currentsince Nov 15, 2023 · Gilman, Il
- H•••••••• P••••••• P••••••• independent RIAMay 2, 2023 to Oct 17, 2023 · Bourbonnais, Il
- E••••• J•••• national BDJan 20, 2017 to May 5, 2023 · Gilman, Il
- H•••••••• P••••••• P••••••• to L•• F•••••••• L••left Oct 17, 2023, registered Nov 15, 2023 (29 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to H•••••••• P••••••• P•••••••left May 5, 2023, registered May 2, 2023 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- K••• L•••••• left H•••••••• P••••••• P••••••• for L•• F•••••••• L•• (registered 2023-11-15)Oct 17, 2023 · Advisor changed firm · fact
- K••• L•••••• left E••••• J•••• for H•••••••• P••••••• P••••••• (registered 2023-05-02)May 5, 2023 · 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