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.
M•••••• D•••• E••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 14, 2024 · Lutherville, Md
- O•••• F•• I••• formerOct 13, 2023 to Aug 19, 2024 · Crystal Lake, Il
- A••••••• C•••••••• W••••• M••••••••• L•• independent RIAFeb 3, 2021 to Oct 12, 2023 · Crystal Lake, Il
- M••••• L•• independent RIAAug 1, 2017 to Oct 31, 2017 · Chicago, Il
- O•••• F•• I••• to L•• F•••••••• L••left Aug 19, 2024, registered Aug 14, 2024 (-5 days) · corporate re-registration, not a move
- A••••••• C•••••••• W••••• M••••••••• L•• to O•••• F•• I•••left Oct 12, 2023, registered Oct 13, 2023 (1 days) · Other
- M••••• L•• to A••••••• C•••••••• W••••• M••••••••• L••left Oct 31, 2017, registered Feb 3, 2021 (1191 days) · Other
- M•••••• D•••• E•••••• left A••••••• C•••••••• W••••• M••••••••• L•• for O•••• F•• I••• (registered 2023-10-13)Oct 12, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address