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.
C•••• J••• L•••
- T•• F•••••••• R••••••• C••••• other currentsince Dec 16, 2021 · Carmel, In
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Mar 18, 2022 · Indianapolis, In
- C•••••••• I••••••••• R•••••••• I••• unclassifiedFeb 28, 2005 to Mar 28, 2005 · Indianapolis, In
- G• • W• E••••• S••••• I••• unclassifiedDec 8, 1998 to Mar 2, 2005 · Indianapolis, In
- C•••••••• I••••••••• R••••••• A•••••••• I••• to T•• F•••••••• R••••••• C•••••left Mar 18, 2022, registered Dec 16, 2021 (-92 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move
- G• • W• E••••• S••••• I••• to C•••••••• I••••••••• R•••••••• I•••left Mar 2, 2005, registered Feb 28, 2005 (-2 days) · Other
- C•••• J••• L••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for T•• F•••••••• R••••••• C••••• (registered 2021-12-16)Mar 18, 2022 · 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
- Other adviserderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address