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.
D•••• D• S•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 7, 2026 · Chicago, Il
- K•••••• W••••• M••••••••• independent RIAMay 8, 2023 to Jan 14, 2025 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 2, 2015 to Jan 10, 2023 · Northbrook, Il
- K•••••• W••••• M••••••••• to J••• M••••• S••••••••• L••left Jan 14, 2025, registered Jul 7, 2026 (539 days) · RIA to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•••••• W••••• M•••••••••left Jan 10, 2023, registered May 8, 2023 (118 days) · Wirehouse to independent RIA
- D•••• D• S••• left K•••••• W••••• M••••••••• for J••• M••••• S••••••••• L•• (registered 2026-07-07)Jan 14, 2025 · Advisor changed firm · fact
- D•••• D• S••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for K•••••• W••••• M••••••••• (registered 2023-05-08)Jan 10, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address