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.
F•••• A••••• L••••
- L•• F•••••••• L•• BD affiliated currentsince May 2, 2023 · Indianapolis, In
- C••••••••• F•••••••• N•••••• national BDFeb 11, 2019 to May 12, 2023 · Indianapolis, In
- G••••• W••••• M••••••••• I••• BD affiliatedNov 15, 2005 to Feb 12, 2019 · Roanoke, Va
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 8, 2005 to Nov 18, 2005 · Indianapolis, In
- G••••• W••••• M••••••••• I••• BD affiliatedAug 20, 2003 to Jun 15, 2005 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedNov 22, 1999 to Aug 28, 2003 · Indianapolis, In
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left May 12, 2023, registered May 2, 2023 (-10 days) · Affiliated broker-dealer or bank to another
- G••••• W••••• M••••••••• I••• to C••••••••• F•••••••• N••••••left Feb 12, 2019, registered Feb 11, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S•••••••• I••• to G••••• W••••• M••••••••• I•••left Nov 18, 2005, registered Nov 15, 2005 (-3 days) · Other
- G••••• W••••• M••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 15, 2005, registered Jul 8, 2005 (23 days) · Other
- L•• F•••••••• L•• to G••••• W••••• M••••••••• I•••left Aug 28, 2003, registered Aug 20, 2003 (-8 days) · Other
- F•••• A••••• L•••• left C••••••••• F•••••••• N•••••• for L•• F•••••••• L•• (registered 2023-05-02)May 12, 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address