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.
T••••• E••••• G••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 21, 2017 · Melbourne, Fl
- W•••• F•••• A••••••• wirehouseMay 21, 2009 to Jun 6, 2017 · Lafayette, In
- J••••• H•••••••• W••• L••••• L•• formerFeb 3, 1999 to May 22, 2009 · Lafayette, In
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 6, 2017, registered Jun 21, 2017 (15 days) · Wirehouse to affiliated broker-dealer or bank
- J••••• H•••••••• W••• L••••• L•• to W•••• F•••• A•••••••left May 22, 2009, registered May 21, 2009 (-1 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address