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.
N•••• L••• B•••
- J• W• C••• A•••••••• I••• BD affiliated currentsince May 8, 2015 · Key West, Fl
- O••••••••• S••••••••• I••• BD affiliatedApr 4, 2007 to Jun 3, 2015 · Indianapolis, In
- B••• F•••••••• S••••••••• I••• unclassifiedDec 8, 1998 to Dec 13, 2017 · Indianapolis, In
- B••• F•••••••• S••••••••• I••• to O••••••••• S••••••••• I•••left Dec 13, 2017, registered Apr 4, 2007 (-3906 days) · Other
- O••••••••• S••••••••• I••• to J• W• C••• A•••••••• I•••left Jun 3, 2015, registered May 8, 2015 (-26 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