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.
L••• P•• N•••••
- O•••••••• P•••••• • G••• Y••• W•••••• L•• state registered currentsince Aug 21, 2023 · Batavia, Il
- S••••••• I••••••••• A••••••• mixed wealthJun 16, 2022 to Sep 14, 2023 · Batavia, Il
- R•• O•• C•••••• M••••••••• I••• formerMay 7, 2019 to Apr 30, 2022 · Campton Hills, Il
- C••••• A••••••• L•• formerFeb 14, 2019 to Apr 3, 2019 · Algonquin, Il
- E••••• J•••• national BDNov 13, 2015 to Jan 7, 2019 · Algonquin, Il
- S••••••• I••••••••• A••••••• to O•••••••• P•••••• • G••• Y••• W•••••• L••left Sep 14, 2023, registered Aug 21, 2023 (-24 days) · RIA to a state-registered adviser
- R•• O•• C•••••• M••••••••• I••• to S••••••• I••••••••• A•••••••left Apr 30, 2022, registered Jun 16, 2022 (47 days) · RIA to RIA
- C••••• A••••••• L•• to R•• O•• C•••••• M••••••••• I•••left Apr 3, 2019, registered May 7, 2019 (34 days) · Affiliated broker-dealer or bank to independent RIA
- E••••• J•••• to C••••• A••••••• L••left Jan 7, 2019, registered Feb 14, 2019 (38 days) · Affiliated broker-dealer or bank to another
- L••• P•• N••••• left S••••••• I••••••••• A••••••• for O•••••••• P•••••• • G••• Y••• W•••••• L•• (registered 2023-08-21)Sep 14, 2023 · Advisor changed firm · fact
- L••• P•• N••••• left R•• O•• C•••••• M••••••••• I••• for S••••••• I••••••••• A••••••• (registered 2022-06-16)Apr 30, 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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address