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.
- S•• BD affiliated currentsince Oct 17, 2023 · West Lafayette, In
- L•• F•••••••• L•• BD affiliatedSep 25, 2023 to Oct 13, 2023 · West Lafayette, In
- S•• BD affiliatedNov 7, 2013 to Sep 28, 2023 · West Lafayette, In
- A••••••••• F•••••••• S•••••••• L•• national BDMar 5, 2010 to Nov 8, 2013 · Indianapolis, In
- A••••••• P••••••••• A•••••••• I•• formerApr 12, 2006 to Dec 22, 2008 · Holbrook, Ny
- W•••• F•••• A••••••• wirehouseApr 3, 2002 to Jul 11, 2005 · Lafayette, In
- L•• F•••••••• L•• to S••left Oct 13, 2023, registered Oct 17, 2023 (4 days) · Affiliated broker-dealer or bank to another
- S•• to L•• F•••••••• L••left Sep 28, 2023, registered Sep 25, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to S••left Nov 8, 2013, registered Nov 7, 2013 (-1 days) · Other
- A••••••• P••••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Dec 22, 2008, registered Mar 5, 2010 (438 days) · Other
- W•••• F•••• A••••••• to A••••••• P••••••••• A•••••••• I••left Jul 11, 2005, registered Apr 12, 2006 (275 days) · Other
- D••• J••• D••••• left L•• F•••••••• L•• for Spc (registered 2023-10-17)Oct 13, 2023 · Advisor changed firm · fact
- D••• J••• D••••• left Spc for L•• F•••••••• L•• (registered 2023-09-25)Sep 28, 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address