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.
M••• K•••••• S•••••• C•••••
- H•••••• I••••••••• I••• independent RIA currentsince Jun 24, 2016 · Kokomo, In
- S•••••••• F••••••••• I••• formerSep 7, 2011 to Jun 28, 2016 · Kokomo, In
- N••• F•••••••• G••••• I••• formerMar 22, 2006 to Aug 26, 2011 · Kokomo, In
- C••••••• F•••••••• D••••••• I••• BD affiliatedNov 23, 1998 to Mar 8, 2006 · Kokomo, In
- S•••••••• F••••••••• I••• to H•••••• I••••••••• I•••left Jun 28, 2016, registered Jun 24, 2016 (-4 days) · Other
- N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••left Aug 26, 2011, registered Sep 7, 2011 (12 days) · Other
- C••••••• F•••••••• D••••••• I••• to N••• F•••••••• G••••• I•••left Mar 8, 2006, registered Mar 22, 2006 (14 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address