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.
A•••• L•••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Peoria, Il
- P•••• S••••••••• L•• no RAUMNov 16, 2023 to Nov 14, 2024 · Quincy, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 20, 2020 to Nov 15, 2023 · Peoria, Il
- W•••• F•••• A••••••• wirehouseMay 28, 2015 to Mar 26, 2020 · Peoria, Il
- A••••••• F••••••••• L••• BD affiliatedJan 9, 2014 to Jun 10, 2014 · Peoria, Il
- P•••••• S•••••••• A••••••• formerNov 18, 2013 to Jan 9, 2014 · Peoria, Il
- W•••• F•••• A••••••• wirehouseOct 17, 2012 to Oct 31, 2013 · Peoria, Il
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Nov 15, 2023, registered Nov 16, 2023 (1 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 26, 2020, registered Mar 20, 2020 (-6 days) · Wirehouse to wirehouse
- A••••••• F••••••••• L••• to W•••• F•••• A•••••••left Jun 10, 2014, registered May 28, 2015 (352 days) · Other
- P•••••• S•••••••• A••••••• to A••••••• F••••••••• L•••left Jan 9, 2014, registered Jan 9, 2014 (0 days) · Other
- W•••• F•••• A••••••• to P•••••• S•••••••• A•••••••left Oct 31, 2013, registered Nov 18, 2013 (18 days) · Other
- A•••• L••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•••• S••••••••• L•• (registered 2023-11-16)Nov 15, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address