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.
F•••• J• N••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Park Ridge, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 15, 2023 to Mar 31, 2025 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Aug 21, 2023 · Northbrook, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 15, 2021 to Aug 21, 2023 · Northbrook, Il
- T• A••••••••• I••• formerApr 15, 2021 to Oct 14, 2022 · Northbrook, Il
- N••••• A•••• M••••••••• L•• mixed wealthAug 11, 2014 to Aug 7, 2020 · Chicago, Il
- 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
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 21, 2023, registered Jan 26, 2022 (-572 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 21, 2023, registered Sep 15, 2023 (25 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Apr 15, 2021 (-547 days) · corporate re-registration, not a move
- N••••• A•••• M••••••••• L•• to T• A••••••••• I•••left Aug 7, 2020, registered Apr 15, 2021 (251 days) · Other
- F•••• J• N•••••• left C•••••• S••••• • C••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-09-15)Aug 21, 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
- 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