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.
A••••• V•• B••••••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Mar 29, 2019 · Fishers, In
- S•••••••• A•••••••• L•• BD affiliatedMay 16, 2016 to Mar 19, 2019 · Indianapolis, In
- R•••••• J•••• • A••••••••• I••• national BDAug 26, 2010 to May 18, 2016 · Indianapolis, In
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 13, 2010 · Indianapolis, In
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 20, 2005 to Jun 1, 2009 · Indianapolis, In
- M••••• S•••••• D• I••• unclassifiedDec 16, 1998 to Jun 2, 2005 · Indianapolis, In
- S•••••••• A•••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Mar 19, 2019, registered Mar 29, 2019 (10 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to S•••••••• A•••••••• L••left May 18, 2016, registered May 16, 2016 (-2 days) · Other
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Sep 13, 2010, registered Aug 26, 2010 (-18 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Jun 2, 2005, registered May 20, 2005 (-13 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address