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•••••• L••••••••
- W••••• T••••• W••••• S••••••••• L•• former currentsince Sep 8, 2026 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedMar 30, 2021 to Aug 11, 2026 · Chicago, Il
- B•• H••••• F•••••••• A•••••••• I•• formerMay 10, 2018 to Mar 24, 2021 · Chicago, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 23, 2014 to May 3, 2018 · Leawood, Ks
- L•• F•••••••• L•• to W••••• T••••• W••••• S••••••••• L••left Aug 11, 2026, registered Sep 8, 2026 (28 days) · Affiliated broker-dealer or bank to a newly registered adviser
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 30, 2021 (6 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to B•• H••••• F•••••••• A•••••••• I••left May 3, 2018, registered May 10, 2018 (7 days) · Other
- D•••••• L•••••••• added a TX registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- D•••••• L•••••••• added a IL registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- D•••••• L•••••••• added a CA registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- D•••••• L•••••••• added a NY registration at W••••• T••••• W••••• S••••••••• L••Sep 8, 2026 · New state registration · fact
- D•••••• L•••••••• left L•• F•••••••• L•• for W••••• T••••• W••••• S••••••••• L•• (registered 2026-09-08)Aug 11, 2026 · 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
- Former SEC-registered adviserderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address