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••••• L•• G••••••
- G•••••• F•••••••• P••••••• state registered currentsince Dec 8, 2016 · Plainfield, In
- H•• W••••• M••••••••• L•• unclassifiedJan 14, 2021 to Dec 4, 2021 · Plainfield, In
- C••••• A••••••• L•• formerAug 25, 2015 to Nov 30, 2016 · Carmel, In
- G•••••• R••••••••• A•• E••••• P••••••• L•• unclassifiedApr 24, 2008 to Jul 17, 2015 · Plainfield, In
- P•••• S••••••••• L•• no RAUMAug 19, 2004 to Mar 13, 2008 · South Bend, In
- B••• O•• S••••••••• C••••••••• unclassifiedOct 30, 2003 to May 4, 2004 · Elkart, In
- N•••••• I••••••••• I••• unclassifiedJan 13, 2003 to Oct 3, 2003 · Fort Wayne, In
- C•••••• S••••• • C••• I••• national BDDec 23, 1998 to Oct 31, 2002 · Indianapolis, In
- H•• W••••• M••••••••• L•• to no registered destinationleft Dec 4, 2021 · Departure, no registered destination
- C••••• A••••••• L•• to G•••••• F•••••••• P•••••••left Nov 30, 2016, registered Dec 8, 2016 (8 days) · Other
- G•••••• R••••••••• A•• E••••• P••••••• L•• to C••••• A••••••• L••left Jul 17, 2015, registered Aug 25, 2015 (39 days) · Other
- P•••• S••••••••• L•• to G•••••• R••••••••• A•• E••••• P••••••• L••left Mar 13, 2008, registered Apr 24, 2008 (42 days) · Other
- B••• O•• S••••••••• C••••••••• to P•••• S••••••••• L••left May 4, 2004, registered Aug 19, 2004 (107 days) · Other
- N•••••• I••••••••• I••• to B••• O•• S••••••••• C•••••••••left Oct 3, 2003, registered Oct 30, 2003 (27 days) · Other
- C•••••• S••••• • C••• I••• to N•••••• I••••••••• I•••left Oct 31, 2002, registered Jan 13, 2003 (74 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address