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••• O•••••
- P•• W••••• M••••••••• BD affiliated currentsince May 23, 2024 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to May 17, 2024 · Indianapolis, In
- C••• B•••••••• S•••••••• I••• formerFeb 12, 2016 to May 18, 2022 · Indianapolis, In
- C••• F•••••••• S•••••••• L••• formerJul 5, 2013 to Feb 9, 2016 · Indianapolis, In
- K•• I••••••••• S••••••• L•• BD affiliatedFeb 18, 2010 to Jul 2, 2013 · Anderson, In
- M•• F•••••••• A•••••••• I••• formerJan 29, 2009 to Feb 24, 2010 · Indianapolis, In
- C••••• I••••••••• S••••••• L•• formerApr 25, 2008 to Jul 11, 2008 · Indianapolis, In
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Apr 15, 2008 · Indianapolis, In
- B••• O•• S••••••••• C••••••••• unclassifiedApr 27, 2005 to Jul 6, 2005 · Indianapolis, In
- L•• F•••••••• L•• to P•• W••••• M•••••••••left May 17, 2024, registered May 23, 2024 (6 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Feb 9, 2016, registered Feb 12, 2016 (3 days) · Other
- K•• I••••••••• S••••••• L•• to C••• F•••••••• S•••••••• L•••left Jul 2, 2013, registered Jul 5, 2013 (3 days) · Other
- M•• F•••••••• A•••••••• I••• to K•• I••••••••• S••••••• L••left Feb 24, 2010, registered Feb 18, 2010 (-6 days) · Other
- C••••• I••••••••• S••••••• L•• to M•• F•••••••• A•••••••• I•••left Jul 11, 2008, registered Jan 29, 2009 (202 days) · Other
- C•••• I••••••••• S••••••• C•••• to C••••• I••••••••• S••••••• L••left Apr 15, 2008, registered Apr 25, 2008 (10 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- J••• O••••• left L•• F•••••••• L•• for P•• W••••• M••••••••• (registered 2024-05-23)May 17, 2024 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address