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.
H••• H•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Munster, In
- C•••• I••••••••• S••••••• C•••• formerMar 9, 2012 to Oct 1, 2012 · Munster, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 16, 2008 to Dec 22, 2011 · M••••••Ville, In
- S•••••••• F•••••••• G••••• L•• formerSep 28, 2007 to Mar 17, 2008 · M••••••Ville, In
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAMar 13, 2002 to Oct 12, 2007 · M••••••Ville, In
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Dec 22, 2011, registered Mar 9, 2012 (78 days) · Other
- S•••••••• F•••••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 17, 2008, registered Sep 16, 2008 (183 days) · Other
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to S•••••••• F•••••••• G••••• L••left Oct 12, 2007, registered Sep 28, 2007 (-14 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address