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.
N••••••• M• P••••••
- L•••••• I••••••••• independent RIA currentsince Sep 29, 2025 · Crystal Lake, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 9, 2020 to Apr 7, 2025 · Seattle, Wa
- K•• F•••••••• S•••••••• I•• formerFeb 5, 2020 to Oct 21, 2020 · Bellevue, Wa
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 27, 2019 to Nov 21, 2019 · Seattle, Wa
- F•••• T•••• S••••••••• I••• BD affiliatedJun 25, 2018 to May 31, 2019 · Naperville, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 24, 2017 to Apr 27, 2018 · Chicago, Il
- N••••••••• M••••• I••••••••• S••••••••• to L•••••• I•••••••••left Apr 7, 2025, registered Sep 29, 2025 (175 days) · Other
- K•• F•••••••• S•••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••left Oct 21, 2020, registered Nov 9, 2020 (19 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to K•• F•••••••• S•••••••• I••left Nov 21, 2019, registered Feb 5, 2020 (76 days) · Other
- F•••• T•••• S••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left May 31, 2019, registered Jun 27, 2019 (27 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• T•••• S••••••••• I•••left Apr 27, 2018, registered Jun 25, 2018 (59 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- N••••••• M• P•••••• left N••••••••• M••••• I••••••••• S••••••••• for L•••••• I••••••••• (registered 2025-09-29)Apr 7, 2025 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address