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.
T•••••• E•••••••• S••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 22, 2023 · Greensburg, In
- R••••• W• B•••• • C•• I••••••••• mixed wealthOct 18, 2019 to Mar 10, 2023 · Greensburg, In
- J••••• H•••••••• W••• L••••• L•• formerMar 7, 2017 to Oct 18, 2019 · Greensburg, In
- R••••• W• B•••• • C•• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 10, 2023, registered Mar 22, 2023 (12 days) · RIA to affiliated broker-dealer or bank · moved with a team
- J••••• H•••••••• W••• L••••• L•• to R••••• W• B•••• • C•• I•••••••••left Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move
- T•••••• E•••••••• S•••••••• left R••••• W• B•••• • C•• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-03-22)Mar 10, 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
- 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