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.
B•••••• W•••••• W•••••
- S••••• F••••••••• L•• BD affiliated currentsince Jan 3, 2024 · Parsippany, Nj
- S••••••••• A•••••• A•••••••• I••• formerOct 19, 2017 to Dec 21, 2023 · Chesterton, In
- A•••••••• I••••••••• M••••••••• L•• formerJun 9, 2009 to Aug 1, 2012 · Chesterton, In
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 10, 2003 to Oct 24, 2017 · Burns Harbor, In
- F•• A••••••• S••••••• I•• unclassifiedDec 17, 1998 to Oct 10, 2003 · Chesterton, In
- S••••••••• A•••••• A•••••••• I••• to S••••• F••••••••• L••left Dec 21, 2023, registered Jan 3, 2024 (13 days) · Affiliated broker-dealer or bank to another
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A•••••••• I••••••••• M••••••••• L••left Oct 24, 2017, registered Jun 9, 2009 (-3059 days) · Other
- A•••••••• I••••••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Aug 1, 2012, registered Oct 19, 2017 (1905 days) · Other
- F•• A••••••• S••••••• I•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 10, 2003, registered Oct 10, 2003 (0 days) · Other
- B•••••• W•••••• W••••• left S••••••••• A•••••• A•••••••• I••• for S••••• F••••••••• L•• (registered 2024-01-03)Dec 21, 2023 · 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address