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.
V•••••• J•••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 7, 2006 · Indianapolis, In
- W••••••••• F•••••••• G••••• I••• unclassifiedJun 4, 2004 to Feb 7, 2006 · Carmel, In
- Q•••••• F•••••••• S••••••• I••• independent RIANov 10, 1998 to Jun 6, 2006 · Carmel, In
- Q•••••• F•••••••• S••••••• I••• to W••••••••• F•••••••• G••••• I•••left Jun 6, 2006, registered Jun 4, 2004 (-732 days) · Other
- W••••••••• F•••••••• G••••• I••• to L•• F•••••••• L••left Feb 7, 2006, registered Feb 7, 2006 (0 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address