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.
- S••••••••• W•••••• L•• no RAUM currentsince Jun 24, 2026 · Dubuque, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDDec 6, 2023 to Jul 1, 2026 · Rockford, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 10, 2020 to Dec 8, 2023 · Chicago, Il
- W•••• F•••• A••••••• wirehouseMay 15, 2018 to Nov 11, 2020 · Barrington, Il
- M•••• C••••••• A••••••• S•••••• BD affiliatedMay 17, 2017 to May 16, 2018 · Palm Beach Gardens, Fl
- A••••••••• F•••••••• S•••••••• L•• to S••••••••• W•••••• L••left Jul 1, 2026, registered Jun 24, 2026 (-7 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 8, 2023, registered Dec 6, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to M•• I•••••••• S•••••••• L••left Nov 11, 2020, registered Nov 10, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- M•••• C••••••• A••••••• S•••••• to W•••• F•••• A•••••••left May 16, 2018, registered May 15, 2018 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- G•••••• M••••• J•••• left A••••••••• F•••••••• S•••••••• L•• for S••••••••• W•••••• L•• (registered 2026-06-24)Jul 1, 2026 · Advisor changed firm · fact
- G•••••• M••••• J•••• left M•• I•••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-12-06)Dec 8, 2023 · 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
- No RAUM reportedderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address