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.
D• M••• S••••
- C••••••• F•••••••• D••••••• I••• BD affiliated currentsince Jan 13, 2023 · Kokomo, In
- W•••• F•••• A••••••• wirehouseMar 31, 2016 to Jan 25, 2023 · Bloomington, In
- C••••••••• F•••••••• N•••••• national BDNov 12, 2010 to Mar 31, 2016 · Waltham, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 9, 2006 to Nov 16, 2010 · Indianapolis, In
- J••••• H•••••••• W••• L••••• L•• formerFeb 3, 1999 to Feb 16, 2006 · Indianapolis, In
- W•••• F•••• A••••••• to C••••••• F•••••••• D••••••• I•••left Jan 25, 2023, registered Jan 13, 2023 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••••• F•••••••• N•••••• to W•••• F•••• A•••••••left Mar 31, 2016, registered Mar 31, 2016 (0 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••left Nov 16, 2010, registered Nov 12, 2010 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- J••••• H•••••••• W••• L••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 16, 2006, registered Feb 9, 2006 (-7 days) · Other
- D• M••• S•••• left W•••• F•••• A••••••• for C••••••• F•••••••• D••••••• I••• (registered 2023-01-13)Jan 25, 2023 · 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address