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.
S••••• C••••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Apr 17, 2025 · Crystal Lake, Il
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Apr 17, 2025 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 10, 2014 to Apr 21, 2025 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseNov 14, 2003 to Oct 20, 2014 · Oakbrook Terrac, Il
- O••••••••• A•••• M••••••••• BD affiliatedApr 15, 2003 to Nov 21, 2003 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 3, 2003 to Apr 15, 2003 · Chicago, Il
- C••• W•••• M•••••• C•••• unclassifiedDec 19, 2000 to Jan 3, 2003 · Chicago , Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Apr 21, 2025, registered Apr 17, 2025 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 20, 2014, registered Oct 10, 2014 (-10 days) · Wirehouse to wirehouse
- O••••••••• A•••• M••••••••• to U•• F•••••••• S••••••• I•••left Nov 21, 2003, registered Nov 14, 2003 (-7 days) · Other
- O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••left Apr 15, 2003, registered Apr 15, 2003 (0 days) · corporate re-registration, not a move
- C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
- S••••• C•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R••••••••• C•••••• M••••••••• (registered 2025-04-17)Apr 21, 2025 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address