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.
E•••• A• W•••••
- L•• F•••••••• L•• BD affiliated currentsince May 30, 2025 · Matteson, Il
- S••••• A••••••• I••• BD affiliatedOct 10, 2019 to Jun 6, 2025 · Matteson, Il
- M••••• S•••••• wirehouseJun 14, 2017 to Oct 21, 2019 · Orland Park, Il
- E••••• J•••• national BDJul 30, 2012 to May 23, 2017 · St Louis, Mo
- S••••• A••••••• I••• to L•• F•••••••• L••left Jun 6, 2025, registered May 30, 2025 (-7 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to S••••• A••••••• I•••left Oct 21, 2019, registered Oct 10, 2019 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M••••• S••••••left May 23, 2017, registered Jun 14, 2017 (22 days) · Affiliated broker-dealer or bank to wirehouse
- E•••• A• W••••• left S••••• A••••••• I••• for L•• F•••••••• L•• (registered 2025-05-30)Jun 6, 2025 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address