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.
D••••• M•••••• B•••••
- F••••••••• I••••••••• A••••••• L•• independent RIA currentsince Feb 1, 2024 · Oak Brook, Il
- F•••• T•••• S••••••••• I••• BD affiliatedNov 9, 2016 to Mar 23, 2018 · Chicago, Il
- I•• W••••• M••••••••• L•• BD affiliatedMay 23, 2016 to Aug 29, 2016 · Oakbrook Terrace, Il
- F•••••••• W••••• M••••••••• unclassifiedSep 10, 2014 to Oct 12, 2016 · Burr Ridge, Il
- L•• F•••••••• L•• BD affiliatedApr 12, 2013 to Sep 2, 2016 · Downers Grove, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 12, 2011 to May 6, 2013 · Bloomingdale, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 2, 2009 to Jul 19, 2011 · Cedar Rapids, Ia
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMar 24, 2008 to Oct 8, 2009 · North Liberty, Ia
- F•••• T•••• S••••••••• I••• to F••••••••• I••••••••• A••••••• L••left Mar 23, 2018, registered Feb 1, 2024 (2141 days) · Affiliated broker-dealer or bank to independent RIA
- F•••••••• W••••• M••••••••• to I•• W••••• M••••••••• L••left Oct 12, 2016, registered May 23, 2016 (-142 days) · Other
- L•• F•••••••• L•• to F•••••••• W••••• M•••••••••left Sep 2, 2016, registered Sep 10, 2014 (-723 days) · Other
- I•• W••••• M••••••••• L•• to F•••• T•••• S••••••••• I•••left Aug 29, 2016, registered Nov 9, 2016 (72 days) · Other
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left May 6, 2013, registered Apr 12, 2013 (-24 days) · Other
- V••• F•••••••• A•••••••• I••• to C•••••••• G••••• M•••••• I•••left Jul 19, 2011, registered Jul 12, 2011 (-7 days) · Other
- T••••••• I••••••••• M••••••••• I••• to V••• F•••••••• A•••••••• I•••left Oct 8, 2009, registered Nov 2, 2009 (25 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address