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.
S••••• A••••• S••••
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Jun 22, 2022 · Fishers, In
- U••••• C•••••• F•••••••• A••••••• independent RIAMar 27, 2015 to Aug 4, 2015 · Indianapolis, In
- C• C•••••• M••••••••• I•• formerSep 11, 2012 to May 28, 2015 · Indianapolis, In
- F•••• T•••• S••••••••• I••• BD affiliatedJun 8, 2011 to Aug 2, 2012 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedNov 30, 2009 to Jun 13, 2011 · Fishers, In
- I••••• F•••••••• C••••••••• formerNov 9, 2009 to Dec 1, 2009 · Fishers, In
- C•••• I••••••••• S••••••• C•••• formerJan 11, 2008 to Oct 2, 2009 · Noblesville, In
- U••••• C•••••• F•••••••• A••••••• to T••••••••• R••••••••• A•••••••• L••left Aug 4, 2015, registered Jun 22, 2022 (2514 days) · Other
- C• C•••••• M••••••••• I•• to U••••• C•••••• F•••••••• A•••••••left May 28, 2015, registered Mar 27, 2015 (-62 days) · Other · moved with a team
- F•••• T•••• S••••••••• I••• to C• C•••••• M••••••••• I••left Aug 2, 2012, registered Sep 11, 2012 (40 days) · Other
- L•• F•••••••• L•• to F•••• T•••• S••••••••• I•••left Jun 13, 2011, registered Jun 8, 2011 (-5 days) · Other
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Dec 1, 2009, registered Nov 30, 2009 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to I••••• F•••••••• C•••••••••left Oct 2, 2009, registered Nov 9, 2009 (38 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address