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• I•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Chicago, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 29, 2013 to Jul 13, 2018 · Naperville, Il
- W•••• F•••• A••••••• wirehouseMar 4, 2013 to Oct 2, 2013 · Westchester, Il
- A•••••••• F•••• M••••••••• L•• asset managerJun 14, 2012 to Mar 1, 2013 · Menomonee Falls, Wi
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 28, 2012 · Culver City, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 3, 2009 to Jan 3, 2011 · Culver City, Ca
- 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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••••••• A••••••• L••left Oct 2, 2013, registered Oct 29, 2013 (27 days) · Wirehouse to affiliated broker-dealer or bank
- A•••••••• F•••• M••••••••• L•• to W•••• F•••• A•••••••left Mar 1, 2013, registered Mar 4, 2013 (3 days) · Other
- W•••• F•••• A••••••• to A•••••••• F•••• M••••••••• L••left Aug 28, 2012, registered Jun 14, 2012 (-75 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address