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.
A••••• A• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 23, 2025 · Chicago, Il
- W••••••• I••••••••• formerSep 6, 2023 to Jan 23, 2025 · Chicago, Il
- U••• B•••••• I••••••••• I••• formerNov 2, 2015 to Sep 8, 2023 · Calumet City, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 29, 2015 · Chicago, Il
- C•••• I••••••••• S••••••• C•••• formerJul 23, 2012 to Oct 1, 2012 · Chicago, Il
- W••••••• I••••••••• to L•• F•••••••• L••left Jan 23, 2025, registered Jan 23, 2025 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to W••••••• I•••••••••left Sep 8, 2023, registered Sep 6, 2023 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 29, 2015, registered Nov 2, 2015 (4 days) · Other
- 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
- A••••• A• H•••••• left U••• B•••••• I••••••••• I••• for W••••••• I••••••••• (registered 2023-09-06)Sep 8, 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