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•••••• R•••••• A••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 28, 2021 · Lafayette, In
- M••••• S•••••• wirehouseOct 5, 2011 to Jun 29, 2021 · Lafayette, In
- J••••• H•••••••• W••• L••••• L•• formerFeb 3, 1999 to Sep 30, 2011 · Lafayette, In
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Jun 29, 2021, registered Jun 28, 2021 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- J••••• H•••••••• W••• L••••• L•• to M••••• S••••••left Sep 30, 2011, registered Oct 5, 2011 (5 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address