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••••• M• D•••••••••
- P•• W••••• M••••••••• BD affiliated currentsince Jun 5, 2024 · Arlington Heights, Il
- M••••••••• R••••••••• BD affiliatedSep 9, 2022 to Mar 19, 2024 · Elk Grove Village, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 11, 2021 to Sep 6, 2022 · Schaumburg, Il
- F•••• T•••• S••••••••• I••• BD affiliatedMay 7, 2020 to Jan 5, 2021 · Schaumburg, Il
- P•• W••••• M••••••••• BD affiliatedJul 8, 2016 to May 8, 2020 · Chicago, Il
- E••••• J•••• national BDOct 30, 2015 to May 23, 2016 · Itasca, Il
- M••••••••• R••••••••• to P•• W••••• M•••••••••left Mar 19, 2024, registered Jun 5, 2024 (78 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••••••• R•••••••••left Sep 6, 2022, registered Sep 9, 2022 (3 days) · Other
- F•••• T•••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 5, 2021, registered Jan 11, 2021 (6 days) · Affiliated broker-dealer or bank to wirehouse
- P•• W••••• M••••••••• to F•••• T•••• S••••••••• I•••left May 8, 2020, registered May 7, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to P•• W••••• M•••••••••left May 23, 2016, registered Jul 8, 2016 (46 days) · Other
- D••••• M• D••••••••• left M••••••••• R••••••••• for P•• W••••• M••••••••• (registered 2024-06-05)Mar 19, 2024 · Advisor changed firm · fact
- D••••• M• D••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••••••• R••••••••• (registered 2022-09-09)Sep 6, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address