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••••• M••• D•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 15, 2019 · Knightstown, In
- S••••••••• A•••••• A•••••••• I••• formerApr 13, 2015 to Aug 15, 2019 · Knightstown, In
- A•••• P•••• A••••••• formerApr 13, 2015 to Aug 15, 2019 · Knightstown, In
- D••••• S•••••••• I••••••••• S••••••• I••• unclassifiedFeb 8, 2008 to Jan 5, 2015 · Bradford, Oh
- B•• A•••• M••••••••• I••• independent RIANov 24, 1998 to Dec 31, 2002 · Indianapolis, In
- A•••• P•••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Aug 15, 2019, registered Apr 13, 2015 (-1585 days) · channel change inside one enterprise, not a move
- S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••left Aug 15, 2019, registered Apr 13, 2015 (-1585 days) · Other
- D••••• S•••••••• I••••••••• S••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 5, 2015, registered Apr 13, 2015 (98 days) · Other
- B•• A•••• M••••••••• I••• to D••••• S•••••••• I••••••••• S••••••• I•••left Dec 31, 2002, registered Feb 8, 2008 (1865 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address