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.
S•••• D••••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jul 30, 2025 · Chicago, Il
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedSep 17, 2019 to Aug 9, 2021 · Glenview, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 3, 2019 to Sep 11, 2019 · Schaumburg, Il
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Feb 25, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerApr 21, 2015 to Jan 8, 2018 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 28, 2014 to Feb 24, 2015 · Chandler, Az
- T••••••••• R••••••••• A•••••••• L•• to S••••• W••••• A•••••••• I•••left Aug 9, 2021, registered Jul 30, 2025 (1451 days) · Other
- C•••••••• G••••• M•••••• I••• to T••••••••• R••••••••• A•••••••• L••left Sep 11, 2019, registered Sep 17, 2019 (6 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to C•••••••• G••••• M•••••• I•••left Feb 25, 2019, registered Jun 3, 2019 (98 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• F•••••••• P••••••• S•••••••left Feb 24, 2015, registered Apr 21, 2015 (56 days) · Other · moved with a team
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
- No RAUM reportedderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address