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.
W•••••• J•••• L••••
- B•• W••••• A•••••••• L•• independent RIA currentsince Dec 16, 2021 · Vernon Hills, Il
- C••• F•••••••• S•••••••• L••• formerDec 17, 2021 to Sep 19, 2022 · Vernon Hills, Il
- P•••••• A•••••• G••••• L•• BD affiliatedOct 28, 2021 to May 2, 2022 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedOct 19, 2021 to Oct 19, 2021 · Chicago, Il
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMay 28, 2021 to Oct 1, 2021 · Downers Grove, Il
- C••• F•••••••• S•••••••• L••• to no registered destinationleft Sep 19, 2022 · Departure, no registered destination
- P•••••• A•••••• G••••• L•• to B•• W••••• A•••••••• L••left May 2, 2022, registered Dec 16, 2021 (-137 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to P•••••• A•••••• G••••• L••left Oct 19, 2021, registered Oct 28, 2021 (9 days) · Affiliated broker-dealer or bank to another
- T••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••left Oct 1, 2021, registered Oct 19, 2021 (18 days) · Affiliated broker-dealer or bank to another
- W•••••• J•••• L•••• no longer registered at C••• F•••••••• S•••••••• L•••; no later IA registration on IAPDSep 19, 2022 · a•••••• departure · fact
- W•••••• J•••• L•••• left P•••••• A•••••• G••••• L•• for B•• W••••• A•••••••• L•• (registered 2021-12-16)May 2, 2022 · a•••••• firm change · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address