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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Orland Park, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDAug 10, 2016 to Jul 13, 2018 · Orland Park, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 12, 2014 to Jul 20, 2016 · Oak Lawn, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 23, 2012 to Feb 26, 2014 · North Riverside, Il
- C•••• I••••••••• S••••••• C•••• formerAug 9, 2011 to Jul 13, 2012 · Glenview, Il
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 3, 2011 to Jul 15, 2011 · Downers Grove, 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
- 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Jul 20, 2016, registered Aug 10, 2016 (21 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 26, 2014, registered Mar 12, 2014 (14 days) · Other
- C•••• I••••••••• S••••••• C•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 13, 2012, registered Jul 23, 2012 (10 days) · Other
- T••••••• I••••••••• M••••••••• I••• to C•••• I••••••••• S••••••• C••••left Jul 15, 2011, registered Aug 9, 2011 (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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address