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.
D•••• G••••••
- R•• C•••••• M••••••• L•• national BD currentsince Feb 17, 2026 · Chicago, Il
- L•••••• I••••••••• independent RIAJan 4, 2023 to Jan 20, 2026 · Chicago, Il
- M• A••••••• independent RIAMar 18, 2021 to May 19, 2022 · Chicago, Il
- L•••••• I••••••••• to R•• C•••••• M••••••• L••left Jan 20, 2026, registered Feb 17, 2026 (28 days) · RIA to affiliated broker-dealer or bank
- M• A••••••• to L•••••• I•••••••••left May 19, 2022, registered Jan 4, 2023 (230 days) · Other
- D•••• G•••••• left L•••••• I••••••••• for R•• C•••••• M••••••• L•• (registered 2026-02-17)Jan 20, 2026 · Advisor changed firm · fact
- D•••• G•••••• left M• A••••••• for L•••••• I••••••••• (registered 2023-01-04)May 19, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address