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.
J••••••• C••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Scottsdale, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 24, 2021 to Mar 31, 2025 · Schaumburg, Il
- C•••••• S••••• • C••• I••• national BDNov 16, 2020 to Jun 16, 2021 · Schaumburg, Il
- C••••••• P••••••• independent RIAApr 18, 2018 to Jul 24, 2019 · Bloomingdale, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 24, 2015 to Jan 31, 2018 · Schaumburg, Il
- T• A••••••••• I••• formerJun 24, 2015 to Jan 31, 2018 · Schaumburg, Il
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 16, 2021, registered Aug 24, 2021 (69 days) · Affiliated broker-dealer or bank to another
- C••••••• P••••••• to C•••••• S••••• • C••• I•••left Jul 24, 2019, registered Nov 16, 2020 (481 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 31, 2018, registered Jun 24, 2015 (-952 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 31, 2018, registered Jun 24, 2015 (-952 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address