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.
D•••• L••••••• F•••••
- D••• F••••• A••••••• G••••• L•• state registered currentsince Jan 23, 2017 · Bentonville, Ar
- M•••• C••••••• A••••••• S•••••• BD affiliatedJul 14, 2014 to Dec 31, 2016 · Palm Beach Gardens, Fl
- T•• A•••••••• I••• BD affiliatedDec 3, 2012 to Jul 8, 2014 · Hopkins, Mn
- D••• F••••• A••••••• G•••• unclassifiedDec 3, 2009 to Nov 29, 2012 · Morrilton, Ar
- E•••• N••••••• S••••••••• I••• formerMar 14, 2008 to Mar 25, 2008 · Indianapolis, Mi
- I••• S••••••••• I••• unclassifiedMay 9, 2007 to Mar 10, 2008 · Carmel, In
- N•••••• I••••••••• I••• unclassifiedFeb 27, 2007 to Apr 19, 2007 · Greenwood, In
- W••••••• F•••••••• S•••••••• I••• formerAug 21, 2006 to Feb 23, 2007 · Rushville, In
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Nov 3, 2005 · Indianapolis, In
- B••• O•• S••••••••• C••••••••• unclassifiedJun 16, 2005 to Jul 6, 2005 · Indianapolis, In
- M•••• C••••••• A••••••• S•••••• to D••• F••••• A••••••• G••••• L••left Dec 31, 2016, registered Jan 23, 2017 (23 days) · Other
- T•• A•••••••• I••• to M•••• C••••••• A••••••• S••••••left Jul 8, 2014, registered Jul 14, 2014 (6 days) · Other
- D••• F••••• A••••••• G•••• to T•• A•••••••• I•••left Nov 29, 2012, registered Dec 3, 2012 (4 days) · Other
- E•••• N••••••• S••••••••• I••• to D••• F••••• A••••••• G••••left Mar 25, 2008, registered Dec 3, 2009 (618 days) · Other
- I••• S••••••••• I••• to E•••• N••••••• S••••••••• I•••left Mar 10, 2008, registered Mar 14, 2008 (4 days) · Other
- N•••••• I••••••••• I••• to I••• S••••••••• I•••left Apr 19, 2007, registered May 9, 2007 (20 days) · Other
- W••••••• F•••••••• S•••••••• I••• to N•••••• I••••••••• I•••left Feb 23, 2007, registered Feb 27, 2007 (4 days) · Other
- C•••• I••••••••• S••••••• C•••• to W••••••• F•••••••• S•••••••• I•••left Nov 3, 2005, registered Aug 21, 2006 (291 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address