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•••• A• J••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 20, 2018 · Indianapolis, In
- W•••••• A•• C•• formerFeb 1, 2018 to Dec 21, 2018 · Indianapolis, In
- S•••••••• A•••••••• L•• BD affiliatedAug 11, 2015 to Jan 4, 2018 · Chicago, Il
- D•••• A• N•••• • C•••••• formerApr 21, 2014 to Aug 11, 2015 · Indianapolis, In
- R•• C•••••• M••••••• L•• national BDMar 31, 2008 to May 8, 2014 · Indianapolis, In
- U•• F•••••••• S••••••• I••• wirehouseSep 17, 1999 to Oct 15, 2003 · Indianapolis, In
- W•••••• A•• C•• to J••• M••••• S••••••••• L••left Dec 21, 2018, registered Dec 20, 2018 (-1 days) · RIA to wirehouse
- S•••••••• A•••••••• L•• to W•••••• A•• C••left Jan 4, 2018, registered Feb 1, 2018 (28 days) · Other · moved with a team
- D•••• A• N•••• • C•••••• to S•••••••• A•••••••• L••left Aug 11, 2015, registered Aug 11, 2015 (0 days) · Other · moved with a team
- R•• C•••••• M••••••• L•• to D•••• A• N•••• • C••••••left May 8, 2014, registered Apr 21, 2014 (-17 days) · Other
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Oct 15, 2003, registered Mar 31, 2008 (1629 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wirehousederived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address