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••• B•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 3, 2026 · Winnetka, Il
- W•••• F•••• A••••••• wirehouseMar 15, 2021 to Apr 25, 2022 · Itasca, Il
- J••• M••••• S••••••••• L•• wirehouseJul 11, 2002 to Mar 15, 2026 · Chicago, Il
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 15, 2026, registered Mar 15, 2021 (-1826 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Apr 25, 2022, registered Apr 3, 2026 (1439 days) · Wirehouse to affiliated broker-dealer or bank
- N••• B••••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2021-03-15)Mar 15, 2026 · Advisor changed firm · fact
- N••• B••••••• left W•••• F•••• A••••••• for C•••••• S••••• • C••• I••• (registered 2026-04-03)Apr 25, 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address