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.
R•••••• D••• M•••
- T•• A•••••••• I••• BD affiliated currentsince Jan 7, 2019 · Indianapolis, In
- M• H••••••• S••••••••• I••• BD affiliatedAug 14, 2009 to Dec 31, 2018 · Indianapolis, In
- D••••••••• F••••• W••••• S•••••••• L•• unclassifiedOct 26, 2001 to Sep 15, 2005 · Purchase, Ny
- M••• F•••••••• G••••• I••• unclassifiedJan 4, 1999 to Dec 31, 2009 · Indianapolis, In
- M• H••••••• S••••••••• I••• to T•• A•••••••• I•••left Dec 31, 2018, registered Jan 7, 2019 (7 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••• F•••••••• G••••• I••• to D••••••••• F••••• W••••• S•••••••• L••left Dec 31, 2009, registered Oct 26, 2001 (-2988 days) · Other
- D••••••••• F••••• W••••• S•••••••• L•• to M• H••••••• S••••••••• I•••left Sep 15, 2005, registered Aug 14, 2009 (1429 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address