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.
T•••••• J••• C•••••••
- C••• W••••• C••••••••• L•• state registered currentsince Sep 10, 2012 · Winter Garden, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDApr 17, 2009 to Aug 2, 2012 · Minneapolis, Mn
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 30, 2003 to Oct 5, 2009 · Indianapolis, In
- C•••••• L•• independent RIANov 13, 2002 to Jul 10, 2003 · Indianapolis, In
- A••••••••• F•••••••• S•••••••• L•• to C••• W••••• C••••••••• L••left Aug 2, 2012, registered Sep 10, 2012 (39 days) · Affiliated broker-dealer or bank to a state-registered adviser
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Apr 17, 2009 (-171 days) · corporate re-registration, not a move
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 10, 2003, registered Jun 30, 2003 (-10 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address