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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Batesville, In
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 24, 2020 to Mar 31, 2025 · Covington, Ky
- O••••••••• S••••••••• I••• BD affiliatedOct 30, 2018 to Oct 20, 2020 · Indianapolis, In
- A••••••••• F•••••••• S•••••••• L•• national BDSep 28, 2017 to Sep 11, 2018 · Indianapolis, In
- C••• F•••••••• S•••••••• L••• formerMay 25, 2016 to May 9, 2017 · Niles, Mi
- S••••• W••••• A•••••••• I••• no RAUMAug 27, 2014 to Jan 19, 2016 · Indianapolis, In
- P•• W••••• M••••••••• BD affiliatedJan 24, 2013 to Jul 29, 2014 · Carmel, In
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 13, 2006 to Oct 25, 2012 · Greenwood, In
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- O••••••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 20, 2020, registered Dec 24, 2020 (65 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Sep 11, 2018, registered Oct 30, 2018 (49 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left May 9, 2017, registered Sep 28, 2017 (142 days) · Other
- S••••• W••••• A•••••••• I••• to C••• F•••••••• S•••••••• L•••left Jan 19, 2016, registered May 25, 2016 (127 days) · Other
- P•• W••••• M••••••••• to S••••• W••••• A•••••••• I•••left Jul 29, 2014, registered Aug 27, 2014 (29 days) · Other
- T••••••• I••••••••• M••••••••• I••• to P•• W••••• M•••••••••left Oct 25, 2012, registered Jan 24, 2013 (91 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address