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.
M•••• B•••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Fort Mill, Sc
- P•••• S••••••••• L•• no RAUMAug 10, 2023 to Nov 14, 2024 · Frankfort, Il
- F•••• T•••• S••••••••• I••• BD affiliatedMay 27, 2020 to Feb 3, 2023 · S. Chicago Heights, Il
- J••• M••••• S••••••••• L•• wirehouseFeb 15, 2019 to Jun 4, 2020 · Hinsdale, Il
- B•• H••••• F•••••••• A•••••••• I•• formerMay 2, 2018 to Jan 25, 2019 · Chicago, Il
- W•••••• • R••• formerAug 31, 2016 to Apr 24, 2017 · Mokena, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 4, 2016 to Aug 18, 2016 · Oak Brook, Il
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to P•••• S••••••••• L••left Feb 3, 2023, registered Aug 10, 2023 (188 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to F•••• T•••• S••••••••• I•••left Jun 4, 2020, registered May 27, 2020 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- B•• H••••• F•••••••• A•••••••• I•• to J••• M••••• S••••••••• L••left Jan 25, 2019, registered Feb 15, 2019 (21 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• • R••• to B•• H••••• F•••••••• A•••••••• I••left Apr 24, 2017, registered May 2, 2018 (373 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Aug 18, 2016, registered Aug 31, 2016 (13 days) · Other
- M•••• B••• left F•••• T•••• S••••••••• I••• for P•••• S••••••••• L•• (registered 2023-08-10)Feb 3, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address