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.
M•••••• S•••• B•••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Jul 17, 2025 · Warsaw, In
- L•• F•••••••• L•• BD affiliatedSep 17, 2004 to Jul 7, 2025 · Warsaw, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 15, 1998 to Sep 21, 2004 · Warsaw, In
- L•• F•••••••• L•• to B••••• P••••• A•••••••• L••left Jul 7, 2025, registered Jul 17, 2025 (10 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Sep 21, 2004, registered Sep 17, 2004 (-4 days) · Other
- M•••••• S•••• B••••• left L•• F•••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2025-07-17)Jul 7, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address