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••••• D••••••
- P•• W••••• M••••••••• BD affiliated currentsince Apr 21, 2026 · Aurora, Il
- E••••• J•••• national BDSep 30, 2022 to Apr 14, 2026 · Naperville, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 16, 2019 to Oct 2, 2022 · New York, Ny
- E••••• J•••• to P•• W••••• M•••••••••left Apr 14, 2026, registered Apr 21, 2026 (7 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Oct 2, 2022, registered Sep 30, 2022 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- D••••• D•••••• left E••••• J•••• for P•• W••••• M••••••••• (registered 2026-04-21)Apr 14, 2026 · Advisor changed firm · fact
- D••••• D•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2022-09-30)Oct 2, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address