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.
J•••• L••• T••••
- T••••••• S••••••• A••••••• BD affiliated currentsince Apr 22, 2024 · Indianapolis, In
- N•••• P••• F•••••••• M••••••••• L•• institutionalMay 13, 2013 to Mar 17, 2014 · Los Angeles, Ca
- L•••••• I••••••••• A•••••••• L•• no RAUMOct 17, 2012 to Mar 5, 2013 · Chicago, Il
- N•••• P••• F•••••••• M••••••••• L•• to T••••••• S••••••• A•••••••left Mar 17, 2014, registered Apr 22, 2024 (3689 days) · Other
- L•••••• I••••••••• A•••••••• L•• to N•••• P••• F•••••••• M••••••••• L••left Mar 5, 2013, registered May 13, 2013 (69 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address