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.
B•••• L•• C••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Granger, In
- S••••• F•••••••• G•••• I•• formerApr 17, 2018 to May 20, 2021 · Lawton, Mi
- B•••••• L••• A••••••• S•••••••• I••• BD affiliatedJul 5, 2016 to Mar 22, 2018 · Mishawaka, In
- C•••••••• F•••••••• G•••• A••••••• formerJun 25, 2010 to May 27, 2016 · South Bend, In
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 26, 2010 to May 28, 2010 · S. Bend, In
- E••••• J•••• national BDSep 21, 2009 to Nov 10, 2009 · St Louis, Mo
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- B•••••• L••• A••••••• S•••••••• I••• to S••••• F•••••••• G•••• I••left Mar 22, 2018, registered Apr 17, 2018 (26 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to B•••••• L••• A••••••• S•••••••• I•••left May 27, 2016, registered Jul 5, 2016 (39 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to C•••••••• F•••••••• G•••• A•••••••left May 28, 2010, registered Jun 25, 2010 (28 days) · Other
- E••••• J•••• to U•••• F•••••••• S••••••• G••••• I•••left Nov 10, 2009, registered Feb 26, 2010 (108 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address