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.
L•••• A•••• L••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 19, 2018 · Carmel, In
- H•••••• W••••• P•••••••• I••• state registeredFeb 6, 2003 to Nov 12, 2018
- L•• F•••••••• L•• BD affiliatedJul 31, 2000 to Jun 6, 2018 · Indianapolis, In
- H•••••• W••••• P•••••••• I••• state registeredNov 6, 1998 to Dec 31, 2002 · Indianapolis , In
- H•••••• W••••• P•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Nov 12, 2018, registered Jun 19, 2018 (-146 days) · Other
- L•• F•••••••• L•• to H•••••• W••••• P•••••••• I•••left Jun 6, 2018, registered Feb 6, 2003 (-5599 days) · RIA to a state-registered adviser
- H•••••• W••••• P•••••••• I••• to L•• F•••••••• L••left Dec 31, 2002, registered Jul 31, 2000 (-883 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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address