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.
L•••• W•••• D••••
- A•••••• S•••• W••••• M••••••••• L•• independent RIA currentsince Jul 25, 2024 · Vancouver, Wa
- S•••••• P•••••••• L•• independent RIADec 15, 2020 to Jul 25, 2024 · Indianapolis, In
- S••••••• C•••• P••• unclassifiedSep 23, 2003 to Dec 2, 2014 · Indianapolis, In
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 15, 1999 to Apr 24, 2008 · Indianapolis, In
- S•••••• P•••••••• L•• to A•••••• S•••• W••••• M••••••••• L••left Jul 25, 2024, registered Jul 25, 2024 (0 days) · RIA to RIA
- S••••••• C•••• P••• to S•••••• P•••••••• L••left Dec 2, 2014, registered Dec 15, 2020 (2205 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S••••••• C•••• P•••left Apr 24, 2008, registered Sep 23, 2003 (-1675 days) · Other
- L•••• W•••• D•••• left S•••••• P•••••••• L•• for A•••••• S•••• W••••• M••••••••• L•• (registered 2024-07-25)Jul 25, 2024 · 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address