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•••• P•••••• U••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Valparaiso, In
- P•••• S••••••••• L•• no RAUMJul 22, 2020 to Nov 14, 2024 · Indianapolis, In
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jul 17, 2020 · Beecher, Il
- C••••• I••••••••• S••••••• L•• formerAug 1, 2011 to Jan 21, 2014 · Beecher, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2004 to Aug 2, 2011 · M••••••Ville, In
- A• G• E•••••• • S•••• I••• unclassifiedJun 1, 2001 to Sep 1, 2004 · Chesterton, In
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to P•••• S••••••••• L••left Jul 17, 2020, registered Jul 22, 2020 (5 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••left Aug 2, 2011, registered Aug 1, 2011 (-1 days) · Other
- A• G• E•••••• • S•••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 1, 2004, registered Sep 13, 2004 (12 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address