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.
R••••• H••• L•••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Indianapolis, In
- P•••• S••••••••• L•• no RAUMOct 30, 2019 to Nov 14, 2024 · Indianapolis, In
- I•••••••• A•••••••• L•• BD affiliatedDec 4, 2017 to May 9, 2019 · Indianapolis, In
- O•••• W•••••• I••• BD affiliatedFeb 1, 2016 to Dec 5, 2017 · Indianapolis, In
- S••••• A••••••• I••• BD affiliatedJan 30, 2015 to Feb 2, 2016 · Birmingham, Al
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerMar 1, 2013 to Jan 30, 2015 · Indianapolis, In
- N•• E•••••• S••••••••• C••••••••• formerFeb 4, 2004 to Mar 15, 2013 · Indianapolis, In
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- I•••••••• A•••••••• L•• to P•••• S••••••••• L••left May 9, 2019, registered Oct 30, 2019 (174 days) · RIA to affiliated broker-dealer or bank
- O•••• W•••••• I••• to I•••••••• A•••••••• L••left Dec 5, 2017, registered Dec 4, 2017 (-1 days) · Other
- S••••• A••••••• I••• to O•••• W•••••• I•••left Feb 2, 2016, registered Feb 1, 2016 (-1 days) · Other · moved with a team
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Mar 15, 2013, registered Mar 1, 2013 (-14 days) · Other
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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address