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.
- E••••• J•••• national BD currentsince Aug 7, 2019 · St. Louis, Mo
- E••••• W•••••• L•• independent RIAApr 5, 2018 to Jul 12, 2019 · Naples, Fl
- G••••••• W••••• M••••••••• BD affiliatedSep 28, 2015 to Dec 31, 2016 · Bluffton, Sc
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 6, 2010 to Jun 26, 2015 · Minneapolis, Mn
- M•• F•••••••• S•••••••• I••• formerJan 26, 2007 to Jan 16, 2009 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDDec 6, 2005 to Jan 25, 2006 · Fishers (Indianapolis), In
- E••••• W•••••• L•• to E••••• J••••left Jul 12, 2019, registered Aug 7, 2019 (26 days) · RIA to affiliated broker-dealer or bank
- G••••••• W••••• M••••••••• to E••••• W•••••• L••left Dec 31, 2016, registered Apr 5, 2018 (460 days) · Other
- T••••••• I••••••••• M••••••••• I••• to G••••••• W••••• M•••••••••left Jun 26, 2015, registered Sep 28, 2015 (94 days) · Other
- M•• F•••••••• S•••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Jan 16, 2009, registered Oct 6, 2010 (628 days) · Other
- C•••••• S••••• • C••• I••• to M•• F•••••••• S•••••••• I•••left Jan 25, 2006, registered Jan 26, 2007 (366 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address