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.
M••• J• S•••••••••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Feb 28, 2023 · Wheaton, Il
- L•• F•••••••• L•• BD affiliatedDec 8, 2022 to Feb 9, 2023 · Itasca, Il
- P•••• S••••••••• L•• no RAUMApr 2, 2021 to Dec 7, 2022 · Downers Grove, Il
- H••• S••••••••• •••• I••• BD affiliatedJul 3, 2020 to Mar 22, 2021 · Arlington Heights, Il
- N•••••••• P•••••••• L•• independent RIAApr 15, 2020 to May 14, 2020 · Barrington, Il
- F•• S••••••••• C••••••••• formerNov 13, 2019 to Jan 14, 2020 · Bloomfield Hills, Mi
- O•••• A••••••• S•••••••• L•• BD affiliatedAug 30, 2019 to Oct 31, 2019 · South Barrington, Il
- S•••••• W••••• M••••••••• L•• independent RIAFeb 17, 2015 to Sep 26, 2019 · South Barrington, Il
- L•• F•••••••• L•• BD affiliatedJan 22, 2015 to Sep 18, 2019 · South Barrington, Il
- L•• F•••••••• L•• to B••••••••• C•••••• M••••••••• L••left Feb 9, 2023, registered Feb 28, 2023 (19 days) · RIA to RIA
- P•••• S••••••••• L•• to L•• F•••••••• L••left Dec 7, 2022, registered Dec 8, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- H••• S••••••••• •••• I••• to P•••• S••••••••• L••left Mar 22, 2021, registered Apr 2, 2021 (11 days) · Affiliated broker-dealer or bank to another
- N•••••••• P•••••••• L•• to H••• S••••••••• •••• I•••left May 14, 2020, registered Jul 3, 2020 (50 days) · RIA to affiliated broker-dealer or bank
- F•• S••••••••• C••••••••• to N•••••••• P•••••••• L••left Jan 14, 2020, registered Apr 15, 2020 (92 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• A••••••• S•••••••• L•• to F•• S••••••••• C•••••••••left Oct 31, 2019, registered Nov 13, 2019 (13 days) · Affiliated broker-dealer or bank to another
- S•••••• W••••• M••••••••• L•• to O•••• A••••••• S•••••••• L••left Sep 26, 2019, registered Aug 30, 2019 (-27 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to S•••••• W••••• M••••••••• L••left Sep 18, 2019, registered Feb 17, 2015 (-1674 days) · Other · moved with a team
- M••• J• S••••••••• left L•• F•••••••• L•• for B••••••••• C•••••• M••••••••• L•• (registered 2023-02-28)Feb 9, 2023 · Advisor changed firm · fact
- M••• J• S••••••••• left P•••• S••••••••• L•• for L•• F•••••••• L•• (registered 2022-12-08)Dec 7, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address