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.
J•••• F•••••• K••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 20, 2023 · Carmel, In
- P•• W••••• M••••••••• BD affiliatedJun 24, 2014 to Aug 22, 2023 · Pittsburgh, Pa
- B•• H••••• F•••••••• A•••••••• I•• formerApr 8, 2014 to Jun 17, 2014 · Milwaukee, Wi
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Mar 24, 2014 · Camby, In
- N•••••• I••••••••• I••• unclassifiedJul 9, 2003 to Nov 13, 2009 · Indianapolis, In
- P•• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 22, 2023, registered Oct 20, 2023 (59 days) · Affiliated broker-dealer or bank to another
- B•• H••••• F•••••••• A•••••••• I•• to P•• W••••• M•••••••••left Jun 17, 2014, registered Jun 24, 2014 (7 days) · Other
- P•• W••••• M••••••••• to B•• H••••• F•••••••• A•••••••• I••left Mar 24, 2014, registered Apr 8, 2014 (15 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- J•••• F•••••• K•••• left P•• W••••• M••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-10-20)Aug 22, 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address